Notices

MSRB Notices

Types of notices include approval notices, concept proposals, informational notices, interpretive guidance, market advisories, regulatory reminders and requests for comment. 


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Please visit Requests for Comment page to submit comments.
Title Stakeholders Publication Date Notice Number Rule Number Notice Type
Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities Municipal Securities Dealers 4/12/2018 2018-07 Rule G-15 , Rule G-19 , Rule G-30 , Rule G-47 Regulatory Reminder
MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements Municipal Securities Dealers, Investors 4/04/2018 2018-06 Rule G-15 , Rule G-30 Informational Notice
MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price Municipal Securities Dealers, Investors 3/19/2018 2018-05 Rule G-15 , Rule G-30 Interpretive Guidance
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing Municipal Securities Dealers, Municipal Advisors 3/13/2018 2018-04 Rule A-18 Informational Notice
Request for Input on Draft Frequently Asked Questions Regarding Rule G-42 and the Making of Recommendations
> Any available comments may be viewed here.
Municipal Advisors 2/15/2018 2018-03 Rule G-42 Request for Comment
MSRB Seeks Applicants for Board of Directors Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 1/08/2018 2018-02 Informational Notice
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers Municipal Securities Dealers, Investors 1/03/2018 2018-01 Rule G-18 , Rule G-43 Regulatory Reminder
MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements Municipal Securities Dealers, Municipal Advisors, Issuers 12/15/2017 2017-25 Rule G-34 Approval Notice
SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans Municipal Securities Dealers, Issuers 12/08/2017 2017-24 Rule G-45 Approval Notice
MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 12/04/2017 2017-23 Informational Notice
MSRB Seeks Input on Compliance Support [Comment deadline extended]
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 11/16/2017 2017-22 Request for Comment
MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam Municipal Securities Dealers 11/08/2017 2017-21 Rule G-3 Informational Notice
MSRB Amends Professional Fee for Municipal Advisors Municipal Advisors 9/29/2017 2017-20 Rule A-11 Informational Notice
Request for Comment on a Concept Proposal Regarding Amendments to Primary Offering Practices of Brokers, Dealers and Municipal Securities Dealers
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors 9/14/2017 2017-19 Rule G-11 , Rule G-32 Concept Proposal
Market Advisory on Selective Disclosure Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 9/13/2017 2017-18 Market Advisory