Regulatory Documents

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SEC Filing SR-MSRB-2024-06

Publication date: 07/30/2024

Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection

Federal Register Notice of Immediately Effective Proposed Rule Change (August 07, 2024 )

SEC Approval Order (August 01, 2024 )

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SEC Filing SR-MSRB-2024-05

Publication date: 05/30/2024

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill Their Internal Inspection Obligation of Certain Offices and Locations Remotely for a Pilot Period, Subject to the Conditions Prescribed under FINRA’s Remote Inspections Pilot Program

Federal Register Notice of Immediately Effective Proposed Rule Change (June 12, 2024 )

SEC Approval Order (June 06, 2024 )

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SEC Filing SR-MSRB-2024-04

Publication date: 05/10/2024

Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification

MSRB Response to Comments (July 09, 2024 )

Federal Register Notice of Immediately Effective Proposed Rule Change (May 20, 2024 )

SEC Approval Order (May 14, 2024 )

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SEC Filing SR-MSRB-2024-03

Publication date: 04/09/2024

Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios

Federal Register Notice of Approval (July 17, 2024 )

SEC Approval Order (July 11, 2024 )

MSRB Response to Comments (June 14, 2024 )

SEC Request for Extension of Time (May 23, 2024 )

Federal Register Notice of Filing (April 18, 2024 )

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SEC Filing SR-MSRB-2024-02

Publication date: 03/21/2024

Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11

Federal Register Notice of Immediately Effective Proposed Rule Change (March 28, 2024 )

SEC Approval Order (March 22, 2024 )

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SEC Filing SR-MSRB-2024-01

Publication date: 01/12/2024

Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB

Federal Register Notice of Approval (September 26, 2024 )

SEC Approval Order (September 20, 2024 )

Federal Register Notice of Amendment No. 1 (July 31, 2024 )

Amendment No. 1 (July 18, 2024 )

MSRB Response to Comments (July 18, 2024 )

Federal Register Notice of Filing (January 26, 2024 )

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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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Compliance Resource

Publication date: 07/03/2023

Assessing Supervision of Municipal Advisor Advertising Regulations

Rule Number:

Rule G-40

Compliance Resource

Publication date: 07/03/2023

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

Rule Number:

Rule G-40

Compliance Resource

Publication date: 07/03/2023

FAQs on Use of Municipal Advisory Client Lists and Case Studies

Rule Number:

Rule G-40

Compliance Resource

Publication date: 05/04/2023

Common Compliance Questions & News Library

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-12, Rule G-14, Rule G-17, Rule G-18, Rule G-21, Rule G-30, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule A-12

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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Compliance Resource

Publication date: 03/02/2023

Compliance Tip of the Week Archive

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-7, Rule G-8, Rule G-9, Rule G-10, Rule G-11, Rule G-12, Rule G-13, Rule G-14, Rule G-15, Rule G-17, Rule G-18, Rule G-19, Rule G-20, Rule G-21, Rule G-23, Rule G-27, Rule G-32, Rule G-34, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule G-45, Rule G-47, Rule G-48, Rule A-11, Rule A-12, Rule A-13, Rule D-10

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 )

MSRB Response to Comments (March 23, 2023 )

Amendment No. 1 (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 )

Amendment No. 1 (April 04, 2023 )

MSRB Response to Comments (April 04, 2023 )

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

Federal Register Notice of Filing (February 14, 2023 )

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Compliance Resource

Publication date: 12/30/2022

Preparing to Submit MSRB Form A-12

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

SEC Filing SR-MSRB-2022-10

Publication date: 12/13/2022

Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes

Federal Register Notice of Immediately Effective Proposed Rule Change (December 22, 2022 )

SEC Approval Order (December 16, 2022 )

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SEC Filing SR-MSRB-2022-09

Publication date: 11/16/2022

Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease

Federal Register Notice of Immediately Effective Proposed Rule Change (November 23, 2022 )

SEC Approval Order (November 17, 2022 )

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SEC Filing SR-MSRB-2022-08

Publication date: 11/16/2022

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023

Federal Register Notice of Immediately Effective Proposed Rule Change (November 23, 2022 )

SEC Approval Order (November 17, 2022 )

Read More Show Less

Compliance Resource

Publication date: 11/07/2022

Considerations for Assessing Written Supervisory Procedures for Municipal Advisory Services

Information for:

Municipal Advisors

Rule Number:

Rule G-42, Rule G-44

Compliance Resource

Publication date: 11/07/2022

Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing

Information for:

Dealers

Rule Number:

Rule G-17, Rule G-27

Compliance Resource

Publication date: 09/12/2022

Compliance Calendar

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill Their Internal Inspection Obligation of Certain Offices and Locations Remotely for a Pilot Period, Subject to the Conditions Prescribed under FINRA’s Remote Inspections Pilot Program

Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification

Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios

Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11

Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB

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)

Assessing Supervision of Municipal Advisor Advertising Regulations

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

FAQs on Use of Municipal Advisory Client Lists and Case Studies

Common Compliance Questions & News Library

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

Compliance Tip of the Week Archive

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

Preparing to Submit MSRB Form A-12

Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes

Proposed Rule Change to Amend Rule G-3, on Professional Qualification Requirements, to Delete References to Certain Temporary Regulatory Relief Implemented During the Height of the Coronavirus Disease

Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023

Considerations for Assessing Written Supervisory Procedures for Municipal Advisory Services

Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing

Compliance Calendar

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

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market