Regulatory Documents

Select regulatory documents by category:

Notice 2005-18 - Informational Notice

Publication date: 03/21/2005

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, to Add Requirements for Predispute Arbitration Agreements with Customers, Effective May 1, 2005

Rule Number:

Rule G-8, Rule A-11

Notice 2005-16 - Informational Notice

Publication date: 03/15/2005

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

Rule Number:

Rule G-8, Rule G-37, Rule G-38

Notice 2005-05 - Informational Notice

Publication date: 01/13/2005

Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Recordkeeping

Rule Number:

Rule G-8, Rule G-20

Notice 2004-05 - Informational Notice

Publication date: 02/02/2004

Amendments Approved Regarding the National Do-Not-Call Registry

Rule Number:

Rule G-8, Rule G-39

Notice 2003-41 - Informational Notice

Publication date: 10/30/2003

Technical Revisions and Reorganization of Rule G-37 Qs & As

Rule Number:

Rule G-37, Rule G-8, Rule G-9

Notice 2003-35 - Informational Notice

Publication date: 08/19/2003

Amendments Filed Regarding the National Do-Not-Call Registry

Rule Number:

Rule G-39, Rule G-8

Notice 2003-17 - Informational Notice

Publication date: 05/12/2003

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

Rule Number:

Rule G-37, Rule G-8

Notice 2003-11 - Informational Notice

Publication date: 03/26/2003

Amendment Filed to Rule G-37 Rule Change Pending at SEC

Rule Number:

Rule G-37, Rule G-8

Notice 2003-10 - Informational Notice

Publication date: 03/21/2003

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

Rule Number:

Rule G-37, Rule G-8

Notice 2002-27 - Informational Notice

Publication date: 08/13/2002

SEC Approved Amendment to Rule G-32 Relating to Disclosures in Connection with New Issues

Rule Number:

Rule G-32, Rule G-8, Rule G-9

Notice 2002-23 - Informational Notice

Publication date: 06/21/2002

Notice of Proposed Amendment to Rule G-32 on Sending Disclosure Documents to Customers Sharing the Same Address

Rule Number:

Rule G-32, Rule G-8, Rule G-9

Notice 2002-22 - Informational Notice

Publication date: 06/12/2002

SEC Approves New Rule G-40 and Form G-40 on Electronic Mail Contacts

Rule Number:

Rule G-8, Rule G-9

Notice 2002-14 - Informational Notice

Publication date: 04/30/2002

Notice of Proposed Rule Change to Create New Rule G-40 and Form G-40 on Electronic Mail Contacts

Rule Number:

Rule G-8, Rule G-9

Notice 2002-09 - Informational Notice

Publication date: 03/25/2002

Approval of Amendments Concerning Official Communications

Rule Number:

Rule G-15, Rule G-8

Notice 2002-05 - Informational Notice

Publication date: 01/31/2002

Approval of Amendments Concerning Minimum Denominations

Rule Number:

Rule G-15, Rule G-17, Rule G-8

Notice 2001-41 - Informational Notice

Publication date: 11/06/2001

Proposed Rule Change Filed Concerning Official Communications

Rule Number:

Rule G-15, Rule G-8

Notice 2001-39 - Informational Notice

Publication date: 10/16/2001

Proposed Rule Change Concerning Minimum Denominations Filed with the Securities and Exchange Commission

Rule Number:

Rule G-15, Rule G-17, Rule G-8

Notice 2001-22 - Informational Notice

Publication date: 06/13/2001

In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

Rule Number:

Rule G-3, Rule G-8, Rule G-9, Rule G-27

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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Notice of Filing of Amendment to Rule G-8, on Recordkeeping, to Add Requirements for Predispute Arbitration Agreements with Customers, Effective May 1, 2005

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Recordkeeping

Amendments Approved Regarding the National Do-Not-Call Registry

Technical Revisions and Reorganization of Rule G-37 Qs & As

Amendments Filed Regarding the National Do-Not-Call Registry

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

Amendment Filed to Rule G-37 Rule Change Pending at SEC

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

SEC Approved Amendment to Rule G-32 Relating to Disclosures in Connection with New Issues

Notice of Proposed Amendment to Rule G-32 on Sending Disclosure Documents to Customers Sharing the Same Address

SEC Approves New Rule G-40 and Form G-40 on Electronic Mail Contacts

Notice of Proposed Rule Change to Create New Rule G-40 and Form G-40 on Electronic Mail Contacts

Approval of Amendments Concerning Official Communications

Approval of Amendments Concerning Minimum Denominations

Proposed Rule Change Filed Concerning Official Communications

Proposed Rule Change Concerning Minimum Denominations Filed with the Securities and Exchange Commission

In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

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

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