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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Please visit Requests for Comment page to submit comments.
Full Title Publication Date Notice Number Rule Number Notice Type
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
MSRB Seeks Input on Strategic Priorities
> Any available comments may be viewed here.
9/08/2014 2014-16 Request for Comment
Request for Comment on Draft Amendments to MSRB Rule G-37 to Extend its Provisions to Municipal Advisors
> Any available comments may be viewed here.
8/18/2014 2014-15 Rule G-8 , Rule G-9 , Rule G-37 Request for Comment
Request for Comment on Enhancements to Post-Trade Transaction Data Disseminated Through a New Central Transparency Platform
> Any available comments may be viewed here.
8/13/2014 2014-14 Rule G-14 Request for Comment
SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements 8/04/2014 2014-13 Rule G-3 , Rule G-7 , Rule G-27 Regulatory Announcement
Request for Comment on Revised Draft MSRB Rule G-42, on Duties of Non-Solicitor Municipal Advisors
> Any available comments may be viewed here.
7/23/2014 2014-12 Rule G-8 , Rule G-9 Request for Comment
Guidance on the MSRB Municipal Advisor Registration Process 5/12/2014 2014-10 Rule A-12 Regulatory Announcement
MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30 5/12/2014 2014-11 Rule G-17 , Rule G-18 , Rule G-30 , Rule G-48 Regulatory Announcement
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