Regulatory Documents

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Notice 2024-03 - Approval Notice

Publication date: 02/08/2024

SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date

Rule Number:

Rule G-12

Notice 2023-07 - Approval Notice

Publication date: 09/12/2023

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8

Notice 2023-06 - Approval Notice

Publication date: 05/30/2023

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

Information for:

Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2023-05 - Approval Notice

Publication date: 05/15/2023

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-40

Notice 2023-03 - Approval Notice

Publication date: 03/30/2023

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-46

Notice 2022-08 - Approval Notice

Publication date: 08/26/2022

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

Notice 2020-13 - Approval Notice

Publication date: 06/26/2020

MSRB Harmonizes Rules with Requirements of Regulation Best Interest

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-9, Rule G-19, Rule G-20, Rule G-48

Notice 2020-04 - Approval Notice

Publication date: 02/19/2020

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2019-20 - Approval Notice

Publication date: 11/08/2019

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2019-16 - Approval Notice

Publication date: 09/11/2019

MSRB Amends Professional Fee for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2019-15 - Approval Notice

Publication date: 06/28/2019

SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

Notice 2018-31 - Approval Notice

Publication date: 12/13/2018

SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2018-30 - Approval Notice

Publication date: 11/28/2018

SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-16 - Approval Notice

Publication date: 07/23/2018

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Notice 2018-08 - Approval Notice

Publication date: 05/07/2018

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2017-25 - Approval Notice

Publication date: 12/15/2017

MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

Notice 2017-24 - Approval Notice

Publication date: 12/08/2017

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2017-16 - Approval Notice

Publication date: 08/21/2017

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-21

Notice 2017-15 - Approval Notice

Publication date: 07/31/2017

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

Notice 2017-10 - Approval Notice

Publication date: 05/17/2017

SEC Approves Continuing Education Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

Notice 2016-28 - Approval Notice

Publication date: 11/29/2016

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2016-22 - Approval Notice

Publication date: 09/14/2016

SEC Approves MSRB Academic Historical Transaction Data Product

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-21 - Approval Notice

Publication date: 08/19/2016

SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

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 2016-03 - Approval Notice

Publication date: 01/13/2016

SEC Approves New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

MSRB Harmonizes Rules with Requirements of Regulation Best Interest

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

MSRB Amends Professional Fee for Municipal Advisors

SEC Approves Amendments to MSRB Rules and Data Collection Related to Primary Offering Practices

SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs

SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

SEC Approves Continuing Education Requirements for Municipal Advisors

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

SEC Approves MSRB Academic Historical Transaction Data Product

SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures

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 New MSRB Rule G-42 on Duties of Non-Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

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Regulatory Documents for the Municipal Market

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MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market