Regulatory Documents

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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

Notice 2006-33 - Informational Notice

Publication date: 11/24/2006

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

Compliance Resource

Publication date:

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

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

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

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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