Regulatory Documents

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Notice 2021-02 - Informational Notice

Publication date: 02/11/2021

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-8, Rule G-12, Rule G-14, Rule G-16, Rule G-17, Rule G-20, Rule G-23, Rule G-33, Rule G-37, Rule G-38

Notice 2018-18 - Regulatory Reminder

Publication date: 08/14/2018

Compliance Advisory for Municipal Advisors

Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44

Notice 2017-08 - Informational Notice

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

Notice 2016-18 - Informational Notice

Publication date: 08/04/2016

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-37

Notice 2016-06 - Approval Notice

Publication date: 02/17/2016

Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

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

Notice 2013-09 - Informational Notice

Publication date: 04/01/2013

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-37

Notice 2010-57 - Informational Notice

Publication date: 12/17/2010

Reminder: Interpretation on Dealer-Controlled Political Action Committees Under Rule G-37

Rule Number:

Rule G-37

Notice 2010-45 - Informational Notice

Publication date: 10/21/2010

MSRB Receives SEC Approval of Interpretive Guidance on Dealer-Affiliated PACS Under Rule G-37

Rule Number:

Rule G-37

Notice 2010-04 - Informational Notice

Publication date: 02/26/2010

Technical Revisions of Rule G-37 Qs & As

Rule Number:

Rule G-37

Notice 2010-03 - Informational Notice

Publication date: 02/01/2010

Reminder of February 1, 2010 Effective Date of Amendments to Rule G-8 and Rule G-37 Relating to Bond Ballot Campaign Contributions

Rule Number:

Rule G-8, Rule G-37

Notice 2010-01 - Informational Notice

Publication date: 01/22/2010

SEC Approves Amendments to Rule G-37 and Rule G-8 Relating to Political Contributions

Rule Number:

Rule G-8, Rule G-37

Notice 2009-62 - Informational Notice

Publication date: 12/04/2009

Amendments Filed to Rule G-37 Regarding Contributions to Bond Ballot Campaigns

Rule Number:

Rule G-37

Notice 2009-30 - Informational Notice

Publication date: 06/09/2009

Build America Bonds and Other Tax Credit Bonds: Application of Rule G-37 to Solicitations of Issuers

Rule Number:

Rule G-37

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

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

MSRB to Retire Select Interpretive Guidance for Dealers and Municipal Advisors

Compliance Advisory for Municipal Advisors

Application of MSRB Rules to Solicitor Municipal Advisors

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

Amendments to MSRB Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business and Related Amendments are Deemed Approved Under the Securities Exchange Act of 1934

SEC Approves Amendments to Require the Public Disclosure of Additional Information Related to Dealer Contributions to Bond Ballot Campaigns under MSRB Rules G-37 and G-8

Reminder: Interpretation on Dealer-Controlled Political Action Committees Under Rule G-37

MSRB Receives SEC Approval of Interpretive Guidance on Dealer-Affiliated PACS Under Rule G-37

Technical Revisions of Rule G-37 Qs & As

Reminder of February 1, 2010 Effective Date of Amendments to Rule G-8 and Rule G-37 Relating to Bond Ballot Campaign Contributions

SEC Approves Amendments to Rule G-37 and Rule G-8 Relating to Political Contributions

Amendments Filed to Rule G-37 Regarding Contributions to Bond Ballot Campaigns

Build America Bonds and Other Tax Credit Bonds: Application of Rule G-37 to Solicitations of Issuers

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

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