Select regulatory documents by category:

Regulatory Document Type

Back to top
Notice 2019-06 - Informational Notice
Publication date:
MSRB Amends Rule A-16 on Examination Fees
Information for:

Municipal Advisors

Rule Number:

Rule A-16

Share
Notice 2018-09 - Request for Comment
Publication date: | Comment due:
Request for Comment on Draft MSRB Rule G-36, on Discretionary Transactions in Customer Accounts, and Related Draft Amendments
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-36, Rule D-10

All Comments to Notice 2018-09

1. Bond Dealers of America: Letter from Mike Nicholas, Chief Executive Officer, dated July 16, 2018

2. Financial Services Institute: Letter from Robin Traxler, Vice President, Regulatory Affairs and Associate General Counsel, dated July 16, 2018

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated July 16, 2018

 

Share
Notice 2017-08 - Informational Notice
Publication date:
Application of MSRB Rules to Solicitor Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

Share
Notice 2015-05 - Informational Notice
Publication date:
MSRB Amends Fees Charged for Qualification Examinations
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-16

Share
Notice 2009-58 - Informational Notice
Publication date:
Proposed Rule A-16 on Examination Fees
Rule Number:

Rule A-16

Share
Notice 2002-33 - Informational Notice
Publication date:
SEC Approves Amendment to Rule G-35 to Discontinue MSRB Arbitration Program
Rule Number:

Rule G-35, Rule A-16

Share
Print