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Notice 2017-23 - Informational Notice
Publication date:
MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2017-21 - Informational Notice
Publication date:
MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

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Notice 2017-20 - Informational Notice
Publication date:
MSRB Amends Professional Fee for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule A-11

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Notice 2017-13 - Informational Notice
Publication date:
MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-42

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Notice 2017-12 - Informational Notice
Publication date:
MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-15, Rule G-30

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Notice 2017-09 - Informational Notice
Publication date:
MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2017-08 - Informational Notice
Publication date:
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

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Notice 2017-07 - Informational Notice
Publication date:
MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-15

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Notice 2017-06 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Notice 2017-03 - Informational Notice
Publication date:
SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10, Rule G-32

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Notice 2017-02 - Informational Notice
Publication date:
MSRB Seeks Applicants for Board of Directors
Information for:

Bank Dealers, Dealers, Municipal Advisors

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