Regulatory Documents

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Notice 2001-03 - Informational Notice

Publication date: 01/30/2001

Approval of Amendments to Rule G-38, on Consultants, Rule G-8, on Books and Records, and Revisions to Section IV of Form G-37/G-38 and the Attachment Page to the Form

Rule Number:

Rule G-8

Notice 2001-02 - Informational Notice

Publication date: 01/19/2001

Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission

Rule Number:

Rule D-12, Rule A-13, Rule G-3, Rule G-8, Rule G-14, Rule G-15, Rule G-26, Rule G-32, Rule G-34

Notice 2001-01 - Informational Notice

Publication date: 01/09/2001

Reminder of Appropriate Transaction Reporting Procedures for Transactions Effected by Dealers Using Clearing Brokers

Rule Number:

Rule G-14, Rule G-8, Rule G-15

Notice 2000-22 - Informational Notice

Publication date: 07/14/2000

Technical Amendments Filed

Rule Number:

Rule G-8, Rule G-15

Notice 2000-23 - Informational Notice

Publication date: 07/14/2000

MSRB Files Technical Amendments to Rule G-8 and Rule G-15

Rule Number:

Rule G-8

Notice 2000-15 - Informational Notice

Publication date: 04/05/2000

Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission

Rule Number:

Rule D-12, Rule A-13, Rule G-3, Rule G-8, Rule G-26, Rule G-32, Rule G-34

Notice 2000-13 - Informational Notice

Publication date: 03/24/2000

Supervisory Procedures for the Review of Correspondence with the Public: Rules G-8, G-9 and G-27

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Notice 2000-10 - Informational Notice

Publication date: 03/01/2000

Rule G-38 Questions and Answers Concerning Information About Consultants' Political Contributions and Payments to State and Local Political Parties

Rule Number:

Rule G-37, Rule G-8

Notice 2000-05 - Informational Notice

Publication date: 02/01/2000

Amendments Filed to Rules G-38 and G-8 Regarding the Reporting of Consultants’ Names and Roles

Rule Number:

Rule G-8

Notice 2000-02 - Informational Notice

Publication date: 01/07/2000

Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-27, on Supervision, Filed with the Securities and Exchange Commission

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Compliance Resource

Publication date:

Checklist or Handling Client Complaints

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Approval of Amendments to Rule G-38, on Consultants, Rule G-8, on Books and Records, and Revisions to Section IV of Form G-37/G-38 and the Attachment Page to the Form

Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission

Reminder of Appropriate Transaction Reporting Procedures for Transactions Effected by Dealers Using Clearing Brokers

Technical Amendments Filed

MSRB Files Technical Amendments to Rule G-8 and Rule G-15

Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission

Supervisory Procedures for the Review of Correspondence with the Public: Rules G-8, G-9 and G-27

Rule G-38 Questions and Answers Concerning Information About Consultants' Political Contributions and Payments to State and Local Political Parties

Amendments Filed to Rules G-38 and G-8 Regarding the Reporting of Consultants’ Names and Roles

Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-27, on Supervision, Filed with the Securities and Exchange Commission

Checklist or Handling Client Complaints

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