Regulatory Documents

Select regulatory documents by category:

Notice 2021-16 - Informational Notice

Publication date: 12/06/2021

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-17, Rule G-27, Rule G-42, Rule G-44

Notice 2021-03 - Informational Notice

Publication date: 02/16/2021

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

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

Notice 2020-03 - Informational Notice

Publication date: 01/31/2020

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2017-08 - Informational Notice

Publication date: 05/04/2017

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

Notice 2014-11 - Informational Notice

Publication date: 05/12/2014

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-30, Rule G-48

Notice 2013-13 - Informational Notice

Publication date: 06/12/2013

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

Notice 2013-08 - Informational Notice

Publication date: 03/25/2013

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-39 - Informational Notice

Publication date: 08/02/2012

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-38 - Informational Notice

Publication date: 07/18/2012

Guidance on Implementation of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-37 - Informational Notice

Publication date: 07/09/2012

Reminder of New Definition of Sophisticated Municipal Market Professional (SMMP) and Changes in Applicability of MSRB Rules to Such Market Participants

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-13, Rule G-17, Rule G-18, Rule G-19

Notice 2012-27 - Informational Notice

Publication date: 05/29/2012

Securities and Exchange Commission Approves Revised MSRB Definition of Sophisticated Municipal Market Professional

Rule Number:

Rule G-13, Rule G-17, Rule G-18, Rule G-19

Notice 2012-25 - Informational Notice

Publication date: 05/07/2012

Securities and Exchange Commission Approves Interpretive Notice on the Duties of Underwriters to State and Local Government Issuers

Rule Number:

Rule G-17

Notice 2012-20 - Informational Notice

Publication date: 04/11/2012

MSRB Reminds Dealers of Limits on Redactions of SHORT System Documents

Rule Number:

Rule G-17, Rule G-34

Notice 2011-61 - Informational Notice

Publication date: 11/03/2011

MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Rule Number:

Rule G-17

Notice 2011-49 - Informational Notice

Publication date: 08/24/2011

MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal Entities on Behalf of Others

Rule Number:

Rule G-17

Notice 2011-36 - Informational Notice

Publication date: 08/02/2011

Interpretive Guidance Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Rule Number:

Rule G-17

Notice 2010-59 - Informational Notice

Publication date: 12/23/2010

MSRB Fair Dealing Rule for Municipal Advisors Approved

Rule Number:

Rule G-17

Notice 2010-37 - Informational Notice

Publication date: 09/20/2010

MSRB Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market

Rule Number:

Rule G-17, Rule G-19, Rule G-27, Rule G-30

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 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 2009-54 - Informational Notice

Publication date: 09/29/2009

Reminder Notice on Fair Practice Duties to Issuers of Municipal Securities

Rule Number:

Rule G-17, Rule G-20

Notice 2009-42 - Informational Notice

Publication date: 07/14/2009

Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities

Information for:

Dealers, Investors

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

Notice 2009-41 - Informational Notice

Publication date: 07/10/2009

Applicability of MSRB Rules to California Registered Warrants

Rule Number:

Rule G-15, Rule G-17, Rule G-19, Rule G-30

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

MSRB Reminds Dealers of the March 31, 2021 Compliance Date for the Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Application of MSRB Rules to Solicitor Municipal Advisors

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

MSRB Answers Frequently Asked Questions (FAQs) Regarding an Underwriter’s Disclosure Obligations to State and Local Government Issuers under Rule G-17

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Guidance on Implementation of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Reminder of New Definition of Sophisticated Municipal Market Professional (SMMP) and Changes in Applicability of MSRB Rules to Such Market Participants

Securities and Exchange Commission Approves Revised MSRB Definition of Sophisticated Municipal Market Professional

Securities and Exchange Commission Approves Interpretive Notice on the Duties of Underwriters to State and Local Government Issuers

MSRB Reminds Dealers of Limits on Redactions of SHORT System Documents

MSRB Amends Proposal on Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

MSRB Files Interpretive Notice Concerning the Application of MSRB Rule G-17 to Municipal Advisors Advising Obligated Persons or Soliciting Municipal Entities on Behalf of Others

Interpretive Guidance Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

MSRB Fair Dealing Rule for Municipal Advisors Approved

MSRB Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market

Priority of Orders in Primary Offerings Proposed Rule Change Approved

MSRB Amends Proposal on Priority of Orders in Primary Offerings

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

Reminder Notice on Fair Practice Duties to Issuers of Municipal Securities

Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities

Applicability of MSRB Rules to California Registered Warrants

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