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Compliance Calendar

View upcoming compliance dates and events below.
Have a suggestion for the compliance calendar? Contact the MSRB at compliance@msrb.org.

Category
Regulated Entity

2025

January 1, 2025Wednesday
all-dayFirst Day of Form A-12 Annual Affirmation Period
all-dayFirst Day to File Form G-37 for Quarter Ending December 31
January 28, 2025Tuesday
all-dayRate Card RFI Comment Deadline
January 31, 2025Friday
all-dayLast Day of Form A-12 Annual Affirmation Period
all-dayLast Day to File Form G-37 for Quarter Ending December 31
all-dayRule A-11 Annual Municipal Advisor Professional Fee Assessed
March 1, 2025Saturday
all-dayLast Day to Submit Form G-45 Report for Semi-Annual Reporting Period Ending December 31, 2024 (including performance data)
all-dayLast Day to Submit Form G-45 Report for Semi-Annual Reporting Period Ending December 31, 2025
March 3, 2025Monday
all-dayAmendments to Rule G-47 Time of Trade Disclosure
all-dayCompliance Date for Amendments to Rule G-47
March 28, 2025Friday
all-dayRSSS Retirement
April 1, 2025Tuesday
all-dayFirst Day to File Form G-37 for Quarter Ending March 31
April 30, 2025Wednesday
all-dayLast Day to File Form G-37 for Quarter Ending March 31
all-dayRule A-11 Annual Municipal Advisor Fee Due
May 1, 2025Thursday
all-day529 Underwriting Assessment Invoiced
May 31, 2025Saturday
all-dayLast Day to Submit Payments for 529 Underwriting Assessment
July 1, 2025Tuesday
all-dayFirst Day to File Form G-37 for Quarter Ending June 30
July 31, 2025Thursday
all-dayLast Day to File Form G-37 for Quarter Ending June 30
August 29, 2025Friday
all-dayLast Day to Submit Form G-45 Report for Semi-Annual Reporting Period Ending June 30
October 1, 2025Wednesday
all-dayFirst Day to File G-37 for Quarter Ending September 30
October 31, 2025Friday
all-dayLast Day to File G-37 for Quarter ending September 30
all-dayLast Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
December 30, 2025Tuesday
all-dayLast Day for Dealers to Complete Annual Review and Testing of Supervisory Controls
December 31, 2025Wednesday
all-dayEnd of 529 Underwriting Assessment Reporting Period
all-dayLast Day for Municipal Advisors to Complete Annual CEO Certification
all-dayLast Day to Complete Annual Municipal Advisor Continuing Education
all-dayLast Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals