Regulatory Documents

Select regulatory documents by category:

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

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

Compliance Resource

Publication date: 07/18/2022

Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-14, Rule G-15, Rule G-16, Rule G-18, Rule G-20, Rule G-23, Rule G-27, Rule G-30, Rule G-32, Rule A-11, Rule A-12, Rule A-13

Notice 2021-02 - Informational Notice

Publication date: 02/11/2021

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-8, Rule G-12, Rule G-14, Rule G-16, Rule G-17, Rule G-20, Rule G-23, Rule G-33, Rule G-37, Rule G-38

Compliance Resource

Publication date: 09/30/2019

RTRS Users Manual

Information for:

Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 02/07/2019

FAQs on Price Variance Alerts on Reported Trades

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2016-19 - Informational Notice

Publication date: 08/09/2016

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 08/09/2016

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

Information for:

Dealers

Rule Number:

Rule G-14

Notice 2016-09 - Informational Notice

Publication date: 03/02/2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 03/02/2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2015-07 - Informational Notice

Publication date: 05/26/2015

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14

Notice 2014-05 - Informational Notice

Publication date: 02/27/2014

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14, Rule A-12

Notice 2013-03 - Informational Notice

Publication date: 01/31/2013

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

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 2012-60 - Informational Notice

Publication date: 11/29/2012

MSRB Extends Implementation Date of Inter-Dealer Regulatory Dollar Price Reporting Requirement

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

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 2012-51 - Informational Notice

Publication date: 10/09/2012

Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 09/27/2012

New Online Procedure for Documenting Dealer System Outages

Information for:

Dealers

Rule Number:

Rule G-14

Notice 2012-42 - Informational Notice

Publication date: 08/10/2012

Changes to Transaction Reporting Requirements Effective November 5, 2012

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-15 - Informational Notice

Publication date: 03/21/2012

SEC Approves Amendments to MSRB Rule G-14, on Reports of Sales or Purchases, Including Rule G-14 RTRS Procedures, and Amendments to the Real-Time Transaction Reporting System

Rule Number:

Rule G-14

Notice 2012-03 - Informational Notice

Publication date: 01/20/2012

MSRB Files Amendments to Rule G-14, on Reports of Sales or Purchases, Including the Rule G-14 RTRS Procedures, and Amendments to the Real-Time Transaction Reporting System

Rule Number:

Rule G-14

Notice 2011-58 - Informational Notice

Publication date: 10/04/2011

Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34)

Rule Number:

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

Notice 2008-36 - Informational Notice

Publication date: 09/02/2008

Transaction Reporting of Dealer Buybacks of Auction Rate Securities: Rule G-14

Rule Number:

Rule G-14

Notice 2008-27 - Informational Notice

Publication date: 06/13/2008

Reminder of Upcoming Sunset of the Three Hour Exception

Rule Number:

Rule G-14

Notice 2008-01 - Informational Notice

Publication date: 01/02/2008

Reminder of Extension of Three-Hour Exception

Rule Number:

Rule G-14

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Common Compliance Questions & News Library

Compliance Tip of the Week Archive

Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

RTRS Users Manual

FAQs on Price Variance Alerts on Reported Trades

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

RTRS Inter-Dealer Regulatory Dollar Price Reporting Requirement Effective February 25, 2013

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

MSRB Extends Implementation Date of Inter-Dealer Regulatory Dollar Price Reporting Requirement

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

Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements

New Online Procedure for Documenting Dealer System Outages

Changes to Transaction Reporting Requirements Effective November 5, 2012

SEC Approves Amendments to MSRB Rule G-14, on Reports of Sales or Purchases, Including Rule G-14 RTRS Procedures, and Amendments to the Real-Time Transaction Reporting System

MSRB Files Amendments to Rule G-14, on Reports of Sales or Purchases, Including the Rule G-14 RTRS Procedures, and Amendments to the Real-Time Transaction Reporting System

Notice of Publication of an MSRB Systems Holiday Schedule and Reminder of Procedures for Submission of Information Under MSRB Rules Surrounding Non-Business Days (Rules G-14, G-32 and G-34)

Transaction Reporting of Dealer Buybacks of Auction Rate Securities: Rule G-14

Reminder of Upcoming Sunset of the Three Hour Exception

Reminder of Extension of Three-Hour Exception

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