Regulatory Documents

Select regulatory documents by category:

Notice 2018-27 - Informational Notice

Publication date: 09/25/2018

MSRB Facilitates Requests for Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-23 - Informational Notice

Publication date: 09/11/2018

MSRB Expands Advisory Groups and Seeks Volunteers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-13 - Informational Notice

Publication date: 06/25/2018

MSRB Revises Content Outlines for Professional Qualification Examinations

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-11 - Informational Notice

Publication date: 06/11/2018

MSRB Modifies Professional Qualifications Program

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-06 - Informational Notice

Publication date: 04/04/2018

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2018-04 - Informational Notice

Publication date: 03/13/2018

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Notice 2018-02 - Informational Notice

Publication date: 01/08/2018

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2017-23 - Informational Notice

Publication date: 12/04/2017

MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2017-21 - Informational Notice

Publication date: 11/08/2017

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

Notice 2017-13 - Informational Notice

Publication date: 07/13/2017

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

Notice 2017-12 - Informational Notice

Publication date: 07/12/2017

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

Notice 2017-07 - Informational Notice

Publication date: 03/28/2017

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

Notice 2017-06 - Informational Notice

Publication date: 03/07/2017

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Notice 2017-03 - Informational Notice

Publication date: 01/18/2017

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

Notice 2017-02 - Informational Notice

Publication date: 01/09/2017

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-29 - Informational Notice

Publication date: 12/01/2016

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-48, Rule D-15

Notice 2016-27 - Informational Notice

Publication date: 11/22/2016

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-47

Notice 2016-26 - Informational Notice

Publication date: 11/17/2016

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-20 - Informational Notice

Publication date: 08/12/2016

MSRB Delays Reporting of Information by Underwriters of ABLE Programs and Provides Guidance Relating to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities, including ABLE Programs

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-42, Rule G-44, Rule G-45

Notice 2016-19 - Informational Notice

Publication date: 08/09/2016

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

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 2016-15 - Informational Notice

Publication date: 05/02/2016

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2016-14 - Informational Notice

Publication date: 04/12/2016

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule D-12

Notice 2016-12 - Informational Notice

Publication date: 04/04/2016

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-10 - Informational Notice

Publication date: 03/18/2016

SEC Approves Amendments to MSRB Rule A-3, on Membership on the Board, to Lengthen the Term of Board Member Service

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Facilitates Requests for Interpretive Guidance

MSRB Expands Advisory Groups and Seeks Volunteers

MSRB Revises Content Outlines for Professional Qualification Examinations

MSRB Modifies Professional Qualifications Program

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

MSRB Seeks Applicants for Board of Directors

MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support

MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam

MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios

MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price

MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules

MSRB Seeks Applicants for Board of Directors

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

MSRB Delays Reporting of Information by Underwriters of ABLE Programs and Provides Guidance Relating to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities, including ABLE Programs

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

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

MSRB to Amend Rules to Define Two-Day Settlement Cycle

Municipal Fund Securities - Interpretation Relating to the Sales of Interests in ABLE Programs in the Primary Market

Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market

SEC Approves Amendments to MSRB Rule A-3, on Membership on the Board, to Lengthen the Term of Board Member Service

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market