Notices

Regulatory Notices

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

Please visit Requests for Comment page to submit comments.
Full Title Publication Date Notice Number Rule Number Notice Type
MSRB Files Amendments to Rule G-14, on Reports of Sales or Purchases, Including the Rule G-14 RTRS Procedures, and Amendments to the Real-Time Transaction Reporting System 1/20/2012 2012-03 Rule G-14 Regulatory Announcement
MSRB Announces Upcoming Outreach Events 1/11/2012 2012-02 Regulatory Announcement
MSRB Seeks Board of Directors Applicants 1/09/2012 2012-01 Rule A-3 Regulatory Announcement
SEC Approves Amendments to MSRB Rule G-16 to Facilitate Risk-Based Compliance Examinations and Amendments to MSRB Rule G-9, on Preservation of Records 12/19/2011 2011-69 Regulatory Announcement
MSRB to Host Education and Outreach Seminar in Miami 12/05/2011 2011-68 Regulatory Announcement
MSRB Answers Frequently Asked Questions Regarding Dealer Disclosure Obligations Under MSRB Rule G-17 11/30/2011 2011-67 Rule G-17 Regulatory Announcement
Reminder that Revised MSRB Rule G-23 Concerning the Activities of Financial Advisors Becomes Effective Today 11/28/2011 2011-66 Rule G-23 Regulatory Announcement
Reminder of Upcoming Effective Date of Revised MSRB Rule G-23 Concerning the Activities of Financial Advisors 11/18/2011 2011-65 Rule G-23 Regulatory Announcement
Amendments to EMMA to Provide Credit Ratings and Related Information for Municipal Securities on EMMA Effective November 21, 2011 11/14/2011 2011-64 Regulatory Announcement
Request for Comment on Restated Sophisticated Municipal Market Professional Notice
> Any available comments may be viewed here.
11/08/2011 2011-63 Rule G-17, Rule G-18, Rule G-19, Rule G-13 Request for Comment
Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals 11/07/2011 2011-62 Regulatory Announcement
MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities 11/03/2011 2011-61 Rule G-17 Regulatory Announcement
MSRB Files with the SEC Amendments to Rule G-16 to Facilitate Risk-based Compliance Exams and to Rule G-9, on Preservation of Records 10/13/2011 2011-60 Rule G-16, Rule G-9 Regulatory Announcement
MSRB to Host Education and Outreach Seminar in New York 10/05/2011 2011-59 Regulatory Announcement
Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34) 10/04/2011 2011-58 Rule G-14, Rule G-32, Rule G-34 Regulatory Announcement