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 Revises Content Outline for the General Securities Sales Supervisor Qualification Examination Municipal Securities Dealers 1/28/2016 2016-05 Regulatory Announcement
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing Municipal Securities Dealers, Municipal Advisors 1/19/2016 2016-04 Rule A-18 Regulatory Announcement
SEC Approves New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8 Municipal Securities Dealers, Municipal Advisors, Issuers, General Public 1/13/2016 2016-03 Rule G-8 , Rule G-42 Approval Notice
Request for Comment on Amendments to MSRB Rule G-12 on Close-Out Procedures
> Any available comments may be viewed here.
Municipal Securities Dealers 1/06/2016 2016-02 Rule G-12 Request for Comment
MSRB Seeks Applicants for Board of Directors Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 1/04/2016 2016-01 Rule A-3 Regulatory Announcement
MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution Municipal Securities Dealers, Investors, General Public 11/20/2015 2015-23 Rule D-15 , Rule G-18 , Rule G-48 Regulatory Announcement
Request for Comment on Changes to MSRB Rules to Facilitate Shortening the Securities Settlement Cycle
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 11/10/2015 2015-22 Rule G-12 , Rule G-15 Request for Comment
SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8 Municipal Securities Dealers, Municipal Advisors 11/09/2015 2015-21 Rule G-8 , Rule G-20 Regulatory Announcement
MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing Municipal Securities Dealers, Municipal Advisors 11/03/2015 2015-20 Regulatory Announcement
MSRB Extends Comment Deadline on Confirmation Disclosure Proposal Municipal Securities Dealers, Investors, General Public 10/20/2015 2015-19 Rule G-15 Regulatory Announcement
Request for Comment on Draft Amendments to MSRB Rule A-3 to Lengthen the Term of Board Member Service
> Any available comments may be viewed here.
Municipal Securities Dealers, Municipal Advisors, Issuers, Investors, General Public 10/05/2015 2015-18 Rule A-3 Request for Comment
MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training Municipal Securities Dealers 9/30/2015 2015-17 Rule G-3 Regulatory Announcement
Request for Comment on Draft Rule Amendments to Require Confirmation Disclosure of Mark-ups for Specified Principal Transactions with Retail Customers [Comment deadline extended]
> Any available comments may be viewed here.
Municipal Securities Dealers, Investors, General Public 9/24/2015 2015-16 Rule G-15 Request for Comment
MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016 Municipal Advisors 9/08/2015 2015-15 Rule G-3 Regulatory Announcement
MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments 9/03/2015 2015-14 Rule D-15 , Rule G-18 , Rule G-48 Regulatory Announcement