Notices

Regulatory Notices

MSRB regulatory notices keep market participants informed of regulatory changes and provide guidance on the application of existing rules.

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Full Title Publication Date Notice Number Rule Number Notice Type
MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities 6/30/2015 2015-09 Rule G-45 Regulatory Announcement
Request for Comment on Draft Amendments and Other Issues Related to MSRB Rule A-3 on Membership on the Board
> Any available comments may be viewed here.
6/11/2015 2015-08 Rule A-3 Request for Comment
SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System 5/26/2015 2015-07 Rule G-14 Regulatory Announcement
MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50) 4/22/2015 2015-06 Rule G-3 Regulatory Announcement
MSRB Amends Fees Charged for Qualification Examinations 3/17/2015 2015-05 Rule A-16 Regulatory Announcement
MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors 3/02/2015 2015-04 Rule D-13 , Rule G-1 , Rule G-2 , Rule G-3 Regulatory Announcement
Bank Loan Disclosure Market Advisory 1/29/2015 2015-03 Regulatory Announcement
Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015 1/06/2015 2015-02 Regulatory Announcement
MSRB Seeks Applicants for Board of Directors 1/05/2015 2015-01 Regulatory Announcement
SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals 12/08/2014 2014-22 Rule D-15 , Rule G-18 , Rule G-48 Regulatory Announcement
Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 11/25/2014 2014-21 Regulatory Announcement
Request for Comment on Draft Rule Amendments to Require Dealers to Provide Pricing Reference Information on Retail Customer Confirmations
> Any available comments may be viewed here.
11/17/2014 2014-20 Rule G-15 Request for Comment
SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9 10/24/2014 2014-19 Rule G-8 , Rule G-9 Regulatory Announcement
Request for Comment on Draft Amendments to MSRB Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, to Extend its Provisions to Municipal Advisors
> Any available comments may be viewed here.
10/23/2014 2014-18 Rule G-8 , Rule G-9 , Rule G-20 Request for Comment
SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education 10/17/2014 2014-17 Rule G-3 Regulatory Announcement