Regulatory Documents

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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

Notice 2003-10 - Informational Notice

Publication date: 03/21/2003

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

Rule Number:

Rule G-37, Rule G-8

Notice 2002-31 - Informational Notice

Publication date: 09/26/2002

Amendments Filed to Rule G-37 Concerning the Exemption Process and the Definition of Municipal Finance Professional

Rule Number:

Rule G-37

Notice 2002-12 - Request for Comment

Publication date: 04/02/2002 | Comment due: 06/03/2002

Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions

Rule Number:

Rule G-37

No comments available.

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Notice 2001-45 - Request for Comment

Publication date: 12/19/2001 | Comment due: 01/25/2002

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Rule Number:

Rule G-3, Rule G-37

No comments available.

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Notice 2001-42 - Informational Notice

Publication date: 11/21/2001

Activities by Dealers and Municipal Finance Professionals During Transition Periods for Elected Issuer Officials

Rule Number:

Rule G-37

Notice 2001-20 - Informational Notice

Publication date: 06/06/2001

Question and Answer Notice: Rules G-37 and G-38

Rule Number:

Rule G-37

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

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

Notice of Proposed Establishment of Optional System for Electronic Submission of Forms G-37/G-38 and G-37x

Amendments Filed to Rule G-37 Concerning the Exemption Process and the Definition of Municipal Finance Professional

Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Activities by Dealers and Municipal Finance Professionals During Transition Periods for Elected Issuer Officials

Question and Answer Notice: Rules G-37 and G-38

Guidance, Notices & Resources

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MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the
Municipal Market