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 Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals 4/17/2014 2014-09 Rule A-11 Regulatory Announcement
Request for Comment on Establishing Professional Qualification Requirements for Municipal Advisors
> Any available comments may be viewed here.
3/17/2014 2014-08 Rule D-13 , Rule G-1 , Rule G-2 , Rule G-3 Request for Comment
SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions 3/12/2014 2014-07 Rule G-8 , Rule G-19 Regulatory Announcement
Fee Changes for Data Subscription Products and Services 2/28/2014 2014-06 Regulatory Announcement
SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors 2/27/2014 2014-05 Rule A-12 , Rule A-14 , Rule A-15 , Rule G-14 , Rule G-40 Regulatory Announcement
Request for Comment on Draft MSRB Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors
> Any available comments may be viewed here.
2/25/2014 2014-04 Rule G-8 , Rule G-9 Request for Comment
MSRB to Collect Additional Data About 529 College Savings Plans 2/24/2014 2014-03 Rule G-8 , Rule G-9 Regulatory Announcement
Request for Comment on Draft Best-Execution Rule, Including Exception for Transactions with Sophisticated Municipal Market Professionals
> Any available comments may be viewed here.
2/19/2014 2014-02 Rule G-18 Request for Comment
Request for Comment on Draft MSRB Rule G-42, on Duties of Non-Solicitor Municipal Advisors
> Any available comments may be viewed here.
1/09/2014 2014-01 Rule G-8 , Rule G-9 Request for Comment
MSRB Proposes Changes to Continuing Education Program
> Any available comments may be viewed here.
12/13/2013 2013-22 Rule G-3 , Rule G-7 , Rule G-27 Request for Comment
MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents 12/10/2013 2013-21 Rule G-11 Regulatory Announcement
SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods 9/27/2013 2013-20 Rule G-8 , Rule G-11 , Rule G-32 Regulatory Announcement
Request for Comment on Proposed Rule Change to Consolidate Registration Requirements
> Any available comments may be viewed here.
8/19/2013 2013-19 Rule A-12 Request for Comment
MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA 8/12/2013 2013-18 Regulatory Announcement
Notice Regarding MSRB Policy on Interpretive Guidance 8/08/2013 2013-17 Regulatory Announcement