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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Title Stakeholders Publication Date Notice Number Rule Number Notice Type
MSRB Seeks Input on Compliance Support
> 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 Regulatory Announcement
MSRB Amends Professional Fee for Municipal Advisors Municipal Advisors 9/29/2017 2017-20 Rule A-11 Regulatory Announcement
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
Request for Comment on Draft Amendments to MSRB Form G-45 under Rule G-45, on Reporting of Information on Municipal Fund Securities
> Any available comments may be viewed here.
Municipal Securities Dealers 8/22/2017 2017-17 Rule G-45 Request for Comment
SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements Municipal Securities Dealers 8/21/2017 2017-16 Rule G-21 Approval Notice
SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers Municipal Securities Dealers, Investors 7/31/2017 2017-15 Rule G-26 Approval Notice
Market Advisory on Issuer’s Designation of Underwriter’s Counsel Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 7/27/2017 2017-14 Market Advisory
MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios Municipal Advisors, Issuers, Municipal Securities Dealers, Investors 7/13/2017 2017-13 Rule G-42 Regulatory Announcement
MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price Municipal Securities Dealers, Investors 7/12/2017 2017-12 Rule G-15 , Rule G-30 Regulatory Announcement
Second Request for Comment on Draft Amendments to and Clarifications of MSRB Rule G-34, on Obtaining CUSIP Numbers
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers 6/01/2017 2017-11 Rule G-34 Request for Comment
SEC Approves Continuing Education Requirements for Municipal Advisors Municipal Advisors, Issuers 5/17/2017 2017-10 Rule G-3 , Rule G-8 Approval Notice
MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017 Municipal Advisors 5/08/2017 2017-09 Rule G-3 Regulatory Announcement
Application of MSRB Rules to Solicitor Municipal Advisors Municipal Advisors, Issuers, General Public 5/04/2017 2017-08 Rule A-11 , Rule A-12 , Rule A-16 , Rule G-2 , Rule G-3 , Rule G-5 , Rule G-8 , Rule G-9 , Rule G-10 , Rule G-17 , Rule G-20 , Rule G-37 , Rule G-44 Informational Notice