Regulatory Documents

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Notice 2015-23 - Informational Notice

Publication date: 11/20/2015

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2015-14 - Informational Notice

Publication date: 09/03/2015

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2014-22 - Informational Notice

Publication date: 12/08/2014

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

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 2012-62 - Informational Notice

Publication date: 12/17/2012

Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-9, Rule G-18, Rule G-43

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 2012-34 - Informational Notice

Publication date: 06/25/2012

Securities and Exchange Commission Approves MSRB Proposal on Regulation of Broker’s Brokers

Rule Number:

Rule G-8, Rule G-9, Rule G-18, Rule G-43

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 2012-12 - Informational Notice

Publication date: 03/05/2012

MSRB Files Rule Proposal on Regulation of Broker’s Brokers

Rule Number:

Rule G-8, Rule G-9, Rule G-18

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 2004-03 - Informational Notice

Publication date: 01/26/2004

Review of Dealer Pricing Responsibilities

Rule Number:

Rule G-18, Rule G-30

Notice 2002-16 - Informational Notice

Publication date: 05/06/2002

Interpretive Notice Regarding the Application of MSRB Rules to Transactions with Sophisticated Municipal Market Professionals

Rule Number:

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

Notice 2000-30 - Informational Notice

Publication date: 09/28/2000

Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-13, Rule G-32, Rule G-14

Notice 2000-19 - Informational Notice

Publication date: 05/02/2000

Technical Amendments Filed

Rule Number:

Rule A-3, Rule G-15, Rule G-17, Rule G-18

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

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

Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers

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 MSRB Proposal on Regulation of Broker’s Brokers

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

MSRB Files Rule Proposal on Regulation of Broker’s Brokers

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

Review of Dealer Pricing Responsibilities

Interpretive Notice Regarding the Application of MSRB Rules to Transactions with Sophisticated Municipal Market Professionals

Notice and Draft Interpretive Guidance on Dealer Responsibilities in Connection with Both Electronic and Traditional Municipal Securities Transactions

Technical Amendments Filed

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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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