Forms

Dealer Forms and Manuals

Dealers must keep current their form filings with the MSRB that pertain to its rules on political contributions and contact information.

Dealer Forms and Manuals

Registration - Form A-12

Form A-12 is a single, consolidated, electronic form for registrants to provide the MSRB with registration information required under MSRB Rule A-12. Form A-12 is used to:

  • Initiate registration as a dealer prior to engaging in municipal securities activities
  • Initiate registration as a municipal advisor prior to engaging in municipal advisory activities
  • Update registration information within 30 days of changes in relevant information
  • Affirm registration information during the Annual Affirmation Period
  • Notify the MSRB of a withdrawal of registration

New registrants initiate registration by clicking the “Register” link on the MSRB homepage. Current registrants may access a pre-populated Form A-12 through MSRB Gateway.

Reporting Political Contributions - Forms G-37, G-37x and G-38t

  • Form G-37 is used by dealers to report any contributions made to municipal securities issuer officials, payments made to state or local political parties and contributions to bond ballot campaigns by a dealer, its municipal finance professionals, the dealer’s executive officers and political action committees controlled by the dealer or its municipal finance professionals. The form can be submitted electronically or in hard copy. Read more about submitting political contribution disclosures.
  • Form G-37x is used by dealers to disclose that they did not engage in municipal securities business as defined in MSRB Rule G-37. The form can be submitted electronically or in hard copy.
  • Form G-38t is used by dealers to disclose certain pending payments to former consultants used to solicit municipal securities business. This form must be submitted in hard copy only. 

Submitting Primary Market Disclosures - Form G-32
Form G-32 consists of the data elements provided electronically through the MSRB's Electronic Municipal Market Access (EMMA) system in connection with a primary offering of municipal securities under MSRB Rule G-32. Electronic Form G-32 is used by municipal securities dealers to submit official statements, advance refunding documents and other primary market disclosure documents and related information. Read more about submitting primary market disclosures.

Customer Account Transfer Instructions - Form G-26
Form G-26 consists of customer account transfer instructions that may be used by municipal securities dealers for those customers seeking to transfer their municipal securities account from their current dealer (the carrying party) to a new dealer (the receiving party). 

Dealer System Outage Report
The Dealer System Outage Report is an online service to help brokers, dealers and municipal securities dealers easily submit, modify and track reports of system outages or other technology-related problems that affect their ability to submit timely or accurately to the MSRB Real-Time Transaction Reporting System, MSRB Short-term Obligation Rate Transparency System, or MSRB Electronic Municipal Market Access (EMMA®) system. To report a system outage using the online service, dealers must log into their MSRB Gateway account. The service can be used to report new outages, amend reports made during the current calendar month and view and export a history of system outage reports.

Manual on Close-Out Procedures
The Manual on Close-Out Procedures outlines provisions of MSRB Rule G-12(h)(i) governing the close-out procedures available for municipal securities dealers.

User Manuals and Specifications for MSRB Systems
The MSRB publishes user manuals, specifications, and other documentation that describe in detail how to use its market information systems.