Regulatory Documents

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Notice 2008-38 - Informational Notice

Publication date: 09/11/2008

Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials

Rule Number:

Rule G-37

Notice 2008-12 - Informational Notice

Publication date: 03/04/2008

MSRB Responds to SEC Request for Review of Definition of "Issuer Official" Under Rule G-37 on Political Contributions

Rule Number:

Rule G-37

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 2006-15 - Informational Notice

Publication date: 06/15/2006

SEC Approves Interpretive Notice on the Definition of Solicitation Under Rules G-37 and G-38 and Withdrawal of Q&A Guidance

Rule Number:

Rule G-37, Rule G-38

Notice 2006-09 - Informational Notice

Publication date: 04/20/2006

MSRB Files Amendment to Withdraw an Additional Rule G-37 and Rule G-38 Question and Answer Guidance

Rule Number:

Rule G-37, Rule G-38

Notice 2006-05 - Informational Notice

Publication date: 03/17/2006

MSRB Files Second Amendment to Interpretation on the Definition of Solicitation Under Rules G-37 and G-38 and Files Second Amendment to Interpretation on the Definition Of Solicitation Under Rules G-37 and G-38 and Files Withdrawal of Certain Rules G-37 and G-38 Question and Answer Guidance

Rule Number:

Rule G-37, Rule G-38

Notice 2005-59 - Informational Notice

Publication date: 12/07/2005

MSRB Files Amendment with SEC Relating to Previously Filed Interpretive Notice on the Definition of Solicitation Under Rules G-37 and Rule G-38

Rule Number:

Rule G-37, Rule G-38

Notice 2005-53 - Informational Notice

Publication date: 10/11/2005

Reminder: New Forms G-37 and G-38t To Be Used in Connection with Submissions Under Rules G-37 and G-38 For Calendar Quarter Ended September 30, 2005

Rule Number:

Rule G-37, Rule G-38

Notice 2005-50 - Informational Notice

Publication date: 09/26/2005

SEC Approves Amendments to Rule G-37(c), Concerning Solicitation and Coordination of Payments to Political Parties, and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations

Rule Number:

Rule G-37

Notice 2005-44 - Informational Notice

Publication date: 08/18/2005

SEC Approves Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-8, Rule G-37, Rule G-38

Notice 2005-36 - Informational Notice

Publication date: 06/21/2005

MSRB Files An Amendment to Rule G-37(C), Concerning Solicitation and Coordination of Payments to Political Parties, And Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations

Rule Number:

Rule G-37

Notice 2005-34 - Informational Notice

Publication date: 06/08/2005

The Definition of Solicitation Under Rules G-37 and G-38 with the SEC

Rule Number:

Rule G-37, Rule G-38

Notice 2005-33 - Informational Notice

Publication date: 06/02/2005

Technical Amendment Filed to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business

Rule Number:

Rule G-37

Notice 2005-16 - Informational Notice

Publication date: 03/15/2005

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

Rule Number:

Rule G-8, Rule G-37, Rule G-38

Notice 2005-15 - Informational Notice

Publication date: 03/08/2005

MSRB Files Comment Letter on SEC Concept Release

Rule Number:

Rule G-37

Notice 2005-11 - Request for Comment

Publication date: 02/15/2005 | Comment due: 04/01/2005

Request for Comments on Draft Amendments to Rule G-37(c), Relating to Prohibiting Solicitation and Coordination of Payments to Political Parties, and Draft Question and Answer Guidance Concerning Indirect Rule Violations

Rule Number:

Rule G-37

No comments available.

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Notice 2004-33 - Informational Notice

Publication date: 10/12/2004

Correction to MSRB Notice 2004-32 Requesting Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-37

Notice 2004-32 - Request for Comment

Publication date: 09/29/2004 | Comment due: 12/15/2004

Request for Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business (as modified on October 12, 2004)

Rule Number:

Rule G-8, Rule G-37

No comments available.

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Notice 2004-11 - Request for Comment

Publication date: 04/05/2004 | Comment due: 06/04/2004

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-37, Rule G-8, Rule G-9

No comments available.

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Notice 2004-08 - Informational Notice

Publication date: 02/25/2004

Additional Questions and Answers: Rules G-37 and G-38

Rule Number:

Rule G-37

Notice 2003-41 - Informational Notice

Publication date: 10/30/2003

Technical Revisions and Reorganization of Rule G-37 Qs & As

Rule Number:

Rule G-37, Rule G-8, Rule G-9

Notice 2003-32 - Informational Notice

Publication date: 08/06/2003

Notice Concerning Indirect Rule Violations: Rules G-37 and G-38

Rule Number:

Rule G-37

Notice 2003-25 - Informational Notice

Publication date: 06/30/2003

Electronic G-37 Submission System (eG-37 System) Becomes Operational

Rule Number:

Rule G-37

Notice 2003-17 - Informational Notice

Publication date: 05/12/2003

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

Rule Number:

Rule G-37, Rule G-8

Notice 2003-11 - Informational Notice

Publication date: 03/26/2003

Amendment Filed to Rule G-37 Rule Change Pending at SEC

Rule Number:

Rule G-37, Rule G-8

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

Reminder Regarding the Application of Rule G-37 to Federal Election Campaigns of Issuer Officials

MSRB Responds to SEC Request for Review of Definition of "Issuer Official" Under Rule G-37 on Political Contributions

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

SEC Approves Interpretive Notice on the Definition of Solicitation Under Rules G-37 and G-38 and Withdrawal of Q&A Guidance

MSRB Files Amendment to Withdraw an Additional Rule G-37 and Rule G-38 Question and Answer Guidance

MSRB Files Second Amendment to Interpretation on the Definition of Solicitation Under Rules G-37 and G-38 and Files Second Amendment to Interpretation on the Definition Of Solicitation Under Rules G-37 and G-38 and Files Withdrawal of Certain Rules G-37 and G-38 Question and Answer Guidance

MSRB Files Amendment with SEC Relating to Previously Filed Interpretive Notice on the Definition of Solicitation Under Rules G-37 and Rule G-38

Reminder: New Forms G-37 and G-38t To Be Used in Connection with Submissions Under Rules G-37 and G-38 For Calendar Quarter Ended September 30, 2005

SEC Approves Amendments to Rule G-37(c), Concerning Solicitation and Coordination of Payments to Political Parties, and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations

SEC Approves Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

MSRB Files An Amendment to Rule G-37(C), Concerning Solicitation and Coordination of Payments to Political Parties, And Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d), on Indirect Violations

The Definition of Solicitation Under Rules G-37 and G-38 with the SEC

Technical Amendment Filed to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business

Proposed Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business to Be Filed with the Securities and Exchange Commission

MSRB Files Comment Letter on SEC Concept Release

Request for Comments on Draft Amendments to Rule G-37(c), Relating to Prohibiting Solicitation and Coordination of Payments to Political Parties, and Draft Question and Answer Guidance Concerning Indirect Rule Violations

Correction to MSRB Notice 2004-32 Requesting Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business

Request for Comments on Revised Draft Amendments to Rule G-38 Relating to Solicitation of Municipal Securities Business (as modified on October 12, 2004)

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Additional Questions and Answers: Rules G-37 and G-38

Technical Revisions and Reorganization of Rule G-37 Qs & As

Notice Concerning Indirect Rule Violations: Rules G-37 and G-38

Electronic G-37 Submission System (eG-37 System) Becomes Operational

SEC Approves Amendments to Rule G-37 Revising the Exemption Process and the Definition of Municipal Finance Professional

Amendment Filed to Rule G-37 Rule Change Pending at SEC

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