Regulatory Documents

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Notice 2012-57 - Informational Notice

Publication date: 11/16/2012

MSRB Revises Series 53 Study Outline

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2011-62 - Informational Notice

Publication date: 11/07/2011

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

Rule Number:

Rule G-3, Rule G-27

Notice 2011-54 - Informational Notice

Publication date: 09/13/2011

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

Rule Number:

Rule G-3, Rule G-7

Notice 2010-46 - Informational Notice

Publication date: 10/26/2010

MSRB Files Revised Series 52 Study Outline and Selection Specifications

Rule Number:

Rule G-3

Notice 2008-35 - Informational Notice

Publication date: 08/18/2008

Revised Series 51 Study Outline and Selection Specifications Filed with SEC

Rule Number:

Rule G-3

Notice 2008-02 - Informational Notice

Publication date: 01/03/2008

Firm Element Advisory for Continuing Education Is Available

Rule Number:

Rule G-3

Notice 2007-01 - Informational Notice

Publication date: 01/17/2007

Firm Element Advisory for Continuing Education is Available

Rule Number:

Rule G-3

Notice 2006-25 - Informational Notice

Publication date: 08/11/2006

Revised Series 51 Study Outline Filed with SEC

Rule Number:

Rule G-3

Notice 2006-18 - Informational Notice

Publication date: 06/19/2006

Revised Series 53 Study Outline and Test Specifications Filed with SEC

Rule Number:

Rule G-3

Notice 2005-54 - Informational Notice

Publication date: 10/13/2005

Revised Series 9/10 Examination

Rule Number:

Rule G-3

Notice 2005-23 - Informational Notice

Publication date: 04/22/2005

Reminder of Amendments to Remove Exemptions from Regulatory Element of Continuing Education Program

Rule Number:

Rule G-3

Notice 2004-34 - Informational Notice

Publication date: 10/25/2004

Amendments Approved to Remove Exemptions from Regulatory Element of Continuing Education Program

Rule Number:

Rule G-3

Notice 2004-27 - Informational Notice

Publication date: 08/05/2004

Amendments Filed to Remove Exemptions from Regulatory Element of Continuing Education Program

Rule Number:

Rule G-3

Notice 2004-26 - Informational Notice

Publication date: 08/03/2004

Notice of Technical Amendments to Rule G-3, on Professional Qualifications

Rule Number:

Rule G-3

Notice 2003-31 - Informational Notice

Publication date: 08/04/2003

Revised Form G-40, on E-Mail Contacts

Rule Number:

Rule G-3

Notice 2003-06 - Informational Notice

Publication date: 02/28/2003

Reminder: To Supervise Municipal Fund Securities Activities, a Municipal Fund Securities Limited Principal (Series 51) or Municipal Securities Principal (Series 53) Qualification is Required by April 1, 2003

Rule Number:

Rule G-3

Notice 2003-01 - Informational Notice

Publication date: 01/09/2003

Municipal Fund Securities Limited Principals (Series 51) and E-Mail Contacts under Rule G-40

Rule Number:

Rule G-3

Notice 2002-32 - Informational Notice

Publication date: 09/30/2002

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

Rule Number:

Rule G-3

Notice 2002-18 - Informational Notice

Publication date: 05/13/2002

SEC Approval of Municipal Fund Securities Limited Principal Professional Qualification Category and Related Amendments to MSRB Rule G-3

Rule Number:

Rule G-3

Notice 2002-07 - Informational Notice

Publication date: 03/21/2002

Municipal Fund Securities -- Notice of filing of proposed rule change relating to professional qualification of municipal fund securities limited principals

Rule Number:

Rule G-3

Notice 2001-24 - Informational Notice

Publication date: 07/05/2001

Municipal Fund Securities – Qualification of Municipal Securities Principals and Application of MSRB Rules to Fees, Disclosure and Other Market Practices

Rule Number:

Rule G-3

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 2001-02 - Informational Notice

Publication date: 01/19/2001

Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission

Rule Number:

Rule D-12, Rule A-13, Rule G-3, Rule G-8, Rule G-14, Rule G-15, Rule G-26, Rule G-32, Rule G-34

Notice 2000-15 - Informational Notice

Publication date: 04/05/2000

Proposed Rule Changes Relating to Municipal Fund Securities Filed with the Securities and Exchange Commission

Rule Number:

Rule D-12, Rule A-13, Rule G-3, Rule G-8, Rule G-26, Rule G-32, Rule G-34

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Revises Series 53 Study Outline

Changes to Registration of Municipal Securities Professionals and Reminder of Supervisory Obligations of Principals

Rule Changes Filed With SEC Regarding Qualification as a Municipal Securities Representative and Information Concerning Associated Persons

MSRB Files Revised Series 52 Study Outline and Selection Specifications

Revised Series 51 Study Outline and Selection Specifications Filed with SEC

Firm Element Advisory for Continuing Education Is Available

Firm Element Advisory for Continuing Education is Available

Revised Series 51 Study Outline Filed with SEC

Revised Series 53 Study Outline and Test Specifications Filed with SEC

Revised Series 9/10 Examination

Reminder of Amendments to Remove Exemptions from Regulatory Element of Continuing Education Program

Amendments Approved to Remove Exemptions from Regulatory Element of Continuing Education Program

Amendments Filed to Remove Exemptions from Regulatory Element of Continuing Education Program

Notice of Technical Amendments to Rule G-3, on Professional Qualifications

Revised Form G-40, on E-Mail Contacts

Reminder: To Supervise Municipal Fund Securities Activities, a Municipal Fund Securities Limited Principal (Series 51) or Municipal Securities Principal (Series 53) Qualification is Required by April 1, 2003

Municipal Fund Securities Limited Principals (Series 51) and E-Mail Contacts under Rule G-40

Municipal Fund Securities Limited Principal Qualification Examination (Series 51): Filing of Test Specifications, Study Online and Extension of Transition Period

SEC Approval of Municipal Fund Securities Limited Principal Professional Qualification Category and Related Amendments to MSRB Rule G-3

Municipal Fund Securities -- Notice of filing of proposed rule change relating to professional qualification of municipal fund securities limited principals

Municipal Fund Securities – Qualification of Municipal Securities Principals and Application of MSRB Rules to Fees, Disclosure and Other Market Practices

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

Municipal Fund Securities – Rule Changes Approved by the Securities and Exchange Commission

Proposed Rule Changes Relating to Municipal Fund Securities 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