Regulatory Documents

Select regulatory documents by category:

Notice 2014-07 - Informational Notice

Publication date: 03/12/2014

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-19

Notice 2014-03 - Informational Notice

Publication date: 02/24/2014

MSRB to Collect Additional Data About 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule G-8, Rule G-9

SEC Filing

Publication date: 12/31/2013

2013 SEC Filings

All 2013 SEC filings (December 31, 2013 )

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Notice 2013-20 - Informational Notice

Publication date: 09/27/2013

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-11, Rule G-32

Notice 2013-09 - Informational Notice

Publication date: 04/01/2013

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37

SEC Filing

Publication date: 12/31/2012

2012 SEC Filings

All 2012 SEC filings (December 31, 2012 )

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Notice 2012-64 - Informational Notice

Publication date: 12/24/2012

SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-14, Rule G-32, Rule G-34

Notice 2012-62 - Informational Notice

Publication date: 12/17/2012

Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-9, Rule G-18, Rule G-43

Notice 2012-52 - Informational Notice

Publication date: 10/23/2012

MSRB Files Amendments with SEC to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-14, Rule G-32, Rule G-34

Notice 2012-34 - Informational Notice

Publication date: 06/25/2012

Securities and Exchange Commission Approves MSRB Proposal on Regulation of Broker’s Brokers

Rule Number:

Rule G-8, Rule G-9, Rule G-18, Rule G-43

Notice 2012-12 - Informational Notice

Publication date: 03/05/2012

MSRB Files Rule Proposal on Regulation of Broker’s Brokers

Rule Number:

Rule G-8, Rule G-9, Rule G-18

SEC Filing

Publication date: 12/31/2011

2011 SEC Filings

All 2011 SEC filings (December 31, 2011 )

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Notice 2011-46 - Informational Notice

Publication date: 08/19/2011

MSRB Files Pay to Play Rule for Municipal Advisors and Changes to Dealer Pay to Play Rule

Rule Number:

Rule G-8, Rule G-9

Notice 2011-38 - Informational Notice

Publication date: 08/04/2011

Amendments Filed Regarding MSRB Rule G-20 on Gifts and Gratuities

Rule Number:

Rule G-8, Rule G-9, Rule G-20

Notice 2011-26 - Informational Notice

Publication date: 05/16/2011

Changes to MSRB Rules G-8 and G-34 to Increase Transparency of Municipal Variable Rate Securities Effective May 16, 2011

Rule Number:

Rule G-8, Rule G-34

Notice 2011-09 - Informational Notice

Publication date: 02/08/2011

Amendments to Rules G-8 and G-34 to Increase Transparency of Municipal Variable Rate Securities Effective May 16, 2011

Rule Number:

Rule G-8, Rule G-34

Notice 2010-31 - Informational Notice

Publication date: 08/26/2010

SEC Approves Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations

Rule Number:

Rule G-8, Rule G-34

Notice 2010-26 - Informational Notice

Publication date: 08/15/2010

Priority of Orders in Primary Offerings Proposed Rule Change Approved

Rule Number:

Rule G-8, Rule G-9, Rule G-11, Rule G-17

Notice 2010-23 - Informational Notice

Publication date: 08/04/2010

MSRB Amends Proposal on Priority of Orders in Primary Offerings

Rule Number:

Rule G-8, Rule G-11, Rule G-17

Notice 2010-03 - Informational Notice

Publication date: 02/01/2010

Reminder of February 1, 2010 Effective Date of Amendments to Rule G-8 and Rule G-37 Relating to Bond Ballot Campaign Contributions

Rule Number:

Rule G-8, Rule G-37

Notice 2010-01 - Informational Notice

Publication date: 01/22/2010

SEC Approves Amendments to Rule G-37 and Rule G-8 Relating to Political Contributions

Rule Number:

Rule G-8, Rule G-37

SEC Filing

Publication date: 12/31/2009

2009 SEC Filings

All 2009 SEC filings (December 31, 2009 )

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Notice 2009-59 - Informational Notice

Publication date: 11/18/2009

Rule Amendments and Interpretive Notice Filed Regarding Priority of Orders in Primary Offerings

Rule Number:

Rule G-8, Rule G-9, Rule G-11, Rule G-17

Notice 2009-16 - Informational Notice

Publication date: 04/28/2009

Notice of Filling of Amendment to Rule G-8, on Books and Records, Relating to Auction Rate Securities and Variable Rate Demand Obligations

Rule Number:

Rule G-8

SEC Filing

Publication date: 12/31/2008

2008 SEC Filings

All 2008 SEC filings (December 31, 2008 )

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

MSRB to Collect Additional Data About 529 College Savings Plans

2013 SEC Filings

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

2012 SEC Filings

SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers

MSRB Files Amendments with SEC to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Securities and Exchange Commission Approves MSRB Proposal on Regulation of Broker’s Brokers

MSRB Files Rule Proposal on Regulation of Broker’s Brokers

2011 SEC Filings

MSRB Files Pay to Play Rule for Municipal Advisors and Changes to Dealer Pay to Play Rule

Amendments Filed Regarding MSRB Rule G-20 on Gifts and Gratuities

Changes to MSRB Rules G-8 and G-34 to Increase Transparency of Municipal Variable Rate Securities Effective May 16, 2011

Amendments to Rules G-8 and G-34 to Increase Transparency of Municipal Variable Rate Securities Effective May 16, 2011

SEC Approves Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations

Priority of Orders in Primary Offerings Proposed Rule Change Approved

MSRB Amends Proposal on Priority of Orders in Primary Offerings

Reminder of February 1, 2010 Effective Date of Amendments to Rule G-8 and Rule G-37 Relating to Bond Ballot Campaign Contributions

SEC Approves Amendments to Rule G-37 and Rule G-8 Relating to Political Contributions

2009 SEC Filings

Rule Amendments and Interpretive Notice Filed Regarding Priority of Orders in Primary Offerings

Notice of Filling of Amendment to Rule G-8, on Books and Records, Relating to Auction Rate Securities and Variable Rate Demand Obligations

2008 SEC Filings

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