Regulatory Documents

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SEC Filing SR-MSRB-2023-07

Publication date: 12/20/2023

Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date [Refiled to make technical changes, original filed on December 14, 2023]

Federal Register Notice of Approval (February 13, 2024 )

SEC Approval Order (February 07, 2024 )

MSRB Response to Comments (February 01, 2024 )

Federal Register Notice of Filing (December 28, 2023 )

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SEC Filing SR-MSRB-2023-06

Publication date: 11/30/2023

Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)

MSRB Withdrawal of Filing (February 16, 2024 )

SEC Suspension and Order Instituting Proceedings (January 29, 2024 )

MSRB Response to Comments (January 26, 2024 )

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SEC Filing SR-MSRB-2023-05

Publication date: 07/21/2023

Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books and Records Requirements [Refiled to make technical changes, original filed on July 17, 2023]

Federal Register Notice of Approval (September 18, 2023 )

SEC Approval Order (September 12, 2023 )

MSRB Response to Comments (August 31, 2023 )

Federal Register Notice of Filing (July 31, 2023 )

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SEC Filing SR-MSRB-2023-04

Publication date: 04/27/2023

Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

Federal Register Notice of Immediately Effective Proposed Rule Change (May 08, 2023 )

SEC Approval Order (May 02, 2023 )

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SEC Filing SR-MSRB-2023-03

Publication date: 03/28/2023

Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference

Federal Register Notice of Approval (June 01, 2023 )

SEC Approval Order (May 25, 2023 )

MSRB Response to Comments (May 11, 2023 )

Federal Register Notice of Filing (April 12, 2023 )

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SEC Filing SR-MSRB-2023-02

Publication date: 01/31/2023

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (April 04, 2023 )

SEC Approval Order (March 29, 2023 )

Amendment No. 1 (March 23, 2023 )

MSRB Response to Comments (March 23, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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SEC Filing SR-MSRB-2023-01

Publication date: 01/31/2023

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (May 17, 2023 )

SEC Approval Order (May 11, 2023 )

MSRB Response to Comments (April 28, 2023 )

Federal Register Notice of Amendment No. 1 (April 11, 2023 )

MSRB Response to Comments (April 04, 2023 )

Amendment No. 1 (April 04, 2023 )

SEC Request for Extension of TIme (March 21, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date [Refiled to make technical changes, original filed on December 14, 2023]

Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)

Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Amend MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date [Refiled to make technical changes, original filed on December 14, 2023]

Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)

Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities

Proposed Rule Change to Amend MSRB Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring One Business Day after the Trade Date and to Amend Rule G-12 to Update an Outdated Cross Reference

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market