Regulatory Documents

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SEC Filing

Publication date: 12/31/2007

2007 SEC Filings

All 2007 SEC filings (December 31, 2007 )

Guidance on Implementation of New Supervisory Requirements Under Rule G-27; Technical Amendments Filed

Rule Number:

Rule G-27

Notice 2007-27 - Informational Notice

Publication date: 09/14/2007

Notice of Filing and Immediate Effectiveness of Proposal to Delay Implementation of Amendments to Rule G-27, on Supervision

Rule Number:

Rule G-27

Notice 2007-23 - Informational Notice

Publication date: 07/16/2007

REMINDER: Disclosure Requirements Relating to Maximum Sales Load and Total Operating Expense Ratio in Performance Advertisements of Municipal Fund Securities have Become Effective

Rule Number:

Rule G-21, Rule G-27

Notice 2007-18 - Informational Notice

Publication date: 06/05/2007

MSRB Advertising Amendments and Interpretation Relating to Municipal Fund Securities Approved By SEC

Rule Number:

Rule G-21, Rule G-27

Notice 2007-16 - Informational Notice

Publication date: 05/25/2007

SEC Approves Amendments to Rule G-27 on Supervision, Rule G-8 on Recordkeeping, and Rule G-9 on Record Retention. The Amendments Become Effective November 26, 2007

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Notice 2007-13 - Informational Notice

Publication date: 03/26/2007

Reminder of Obligations Under Rule G-37 on Political Contributions and Rule G-27 on Supervision When Sponsoring Meetings and Conferences Involving Issuer Officials

Rule Number:

Rule G-37, Rule G-27, Rule G-20

Notice 2007-06 - Informational Notice

Publication date: 01/29/2007

Dealer Payments in Connection with the Municipal Securities Issuance Process

Rule Number:

Rule G-20, Rule G-17, Rule G-27

SEC Filing

Publication date: 12/31/2006

2006 SEC Filings

All 2006 SEC filings (December 31, 2006 )

Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Notice 2006-32 - Informational Notice

Publication date: 11/21/2006

MSRB Files Amendments and Interpretive Guidance Relating to Advertisements of Municipal Fund Securities

Rule Number:

Rule G-17, Rule G-21, Rule G-27

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 2001-22 - Informational Notice

Publication date: 06/13/2001

In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

Rule Number:

Rule G-3, Rule G-8, Rule G-9, Rule G-27

Notice 2000-13 - Informational Notice

Publication date: 03/24/2000

Supervisory Procedures for the Review of Correspondence with the Public: Rules G-8, G-9 and G-27

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Notice 2000-02 - Informational Notice

Publication date: 01/07/2000

Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-27, on Supervision, Filed with the Securities and Exchange Commission

Rule Number:

Rule G-8, Rule G-9, Rule G-27

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

2007 SEC Filings

Guidance on Implementation of New Supervisory Requirements Under Rule G-27; Technical Amendments Filed

Notice of Filing and Immediate Effectiveness of Proposal to Delay Implementation of Amendments to Rule G-27, on Supervision

REMINDER: Disclosure Requirements Relating to Maximum Sales Load and Total Operating Expense Ratio in Performance Advertisements of Municipal Fund Securities have Become Effective

MSRB Advertising Amendments and Interpretation Relating to Municipal Fund Securities Approved By SEC

SEC Approves Amendments to Rule G-27 on Supervision, Rule G-8 on Recordkeeping, and Rule G-9 on Record Retention. The Amendments Become Effective November 26, 2007

Reminder of Obligations Under Rule G-37 on Political Contributions and Rule G-27 on Supervision When Sponsoring Meetings and Conferences Involving Issuer Officials

Dealer Payments in Connection with the Municipal Securities Issuance Process

2006 SEC Filings

Notice of Filing of Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention

MSRB Files Amendments and Interpretive Guidance Relating to Advertisements of Municipal Fund Securities

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

In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

Supervisory Procedures for the Review of Correspondence with the Public: Rules G-8, G-9 and G-27

Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-27, on Supervision, Filed with the Securities and Exchange Commission

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