Regulatory Notices

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

Sign up for Email Alerts Sign up to receive emails about regulatory notices.

Please visit Requests for Comment page to submit comments.
Full Title Stakeholders Publication Date Notice Number Rule Number Notice Type
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
> 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
MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses 8/10/2015 2015-13 Rule A-12 , Rule A-13 Regulatory Announcement
MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers 7/31/2015 2015-12 Rule G-3 Regulatory Announcement
MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities 7/23/2015 2015-11 Regulatory Announcement
Request for Comment on Establishment of an Academic Historical Trade Data Product
> Any available comments may be viewed here.
7/16/2015 2015-10 Request for Comment
MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities 6/30/2015 2015-09 Rule G-45 Regulatory Announcement
Request for Comment on Draft Amendments and Other Issues Related to MSRB Rule A-3 on Membership on the Board
> Any available comments may be viewed here.
6/11/2015 2015-08 Rule A-3 Request for Comment
SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System 5/26/2015 2015-07 Rule G-14 Regulatory Announcement
MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50) 4/22/2015 2015-06 Rule G-3 Regulatory Announcement
MSRB Amends Fees Charged for Qualification Examinations 3/17/2015 2015-05 Rule A-16 Regulatory Announcement
MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors 3/02/2015 2015-04 Rule D-13 , Rule G-1 , Rule G-2 , Rule G-3 Regulatory Announcement
Bank Loan Disclosure Market Advisory 1/29/2015 2015-03 Regulatory Announcement