Regulatory Documents

Select regulatory documents by category:

Notice 2022-04 - Informational Notice

Publication date: 06/24/2022

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

Notice 2014-07 - Informational Notice

Publication date: 03/12/2014

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-19

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 2012-37 - 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 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 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

Notice 2008-09 - Informational Notice

Publication date: 02/19/2008

Application of MSRB Rules to Transactions in Auction Rate Securities

Rule Number:

Rule G-17, Rule G-19

Notice 2008-04 - Informational Notice

Publication date: 01/22/2008

Bond Insurance Ratings -- Application of MSRB Rules

Rule Number:

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

Notice 2007-17 - Informational Notice

Publication date: 03/30/2007

Reminder of Customer Protection Obligations in Connection with Sales of Municipal Securities

Rule Number:

Rule G-17, Rule G-19, Rule G-20

Notice 2006-07 - Informational Notice

Publication date: 03/31/2006

MSRB Files Interpretation on Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans with the SEC

Rule Number:

Rule G-17, Rule G-19

Notice 2002-34 - Informational Notice

Publication date: 11/18/2002

Draft Interpretive Notice on Marketing of 529 College Savings Plan Employee Payroll Deduction Programs

Rule Number:

Rule G-17, Rule G-19, Rule G-27, Rule G-32

Notice 2002-30 - Informational Notice

Publication date: 09/25/2002

Notice Regarding Application of Rule G-19, on Suitability of Recommendations and Transactions, to online Communications

Rule Number:

Rule G-19

Notice 2002-19 - Informational Notice

Publication date: 05/14/2002

Application of Fair Practice and Advertising Rules to Municipal Fund Securities

Rule Number:

Rule G-17, Rule G-21, Rule G-19, 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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

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

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

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

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

Application of MSRB Rules to Transactions in Auction Rate Securities

Bond Insurance Ratings -- Application of MSRB Rules

Reminder of Customer Protection Obligations in Connection with Sales of Municipal Securities

MSRB Files Interpretation on Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans with the SEC

Draft Interpretive Notice on Marketing of 529 College Savings Plan Employee Payroll Deduction Programs

Notice Regarding Application of Rule G-19, on Suitability of Recommendations and Transactions, to online Communications

Application of Fair Practice and Advertising Rules to Municipal Fund Securities

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

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market