Regulatory Documents

Select regulatory documents by category:

Notice 2020-08 - Informational Notice

Publication date: 03/23/2020

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Notice 2020-07 - Informational Notice

Publication date: 03/09/2020

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-27, Rule G-44

Notice 2020-06 - Informational Notice

Publication date: 02/25/2020

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2020-05 - Informational Notice

Publication date: 02/21/2020

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 2020-03 - Informational Notice

Publication date: 01/31/2020

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2020-01 - Informational Notice

Publication date: 01/06/2020

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11

Notice 2019-19 - Informational Notice

Publication date: 10/18/2019

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-18 - Informational Notice

Publication date: 10/11/2019

MSRB to Launch Permanent Series 54 Examination November 12, 2019

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-17 - Informational Notice

Publication date: 10/10/2019

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2019-11 - Informational Notice

Publication date: 04/10/2019

MSRB Updates Rulebook with Nonsubstantive, Technical Amendments

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

Notice 2019-09 - Informational Notice

Publication date: 03/13/2019

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 2019-07 - Informational Notice

Publication date: 02/26/2019

MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-06 - Informational Notice

Publication date: 02/11/2019

MSRB Amends Rule A-16 on Examination Fees

Information for:

Municipal Advisors

Rule Number:

Rule A-16

Notice 2019-04 - Informational Notice

Publication date: 02/05/2019

MSRB Identifies Priority Rules for Retrospective Review in 2019

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2019-03 - Informational Notice

Publication date: 01/28/2019

MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2019-02 - Informational Notice

Publication date: 01/07/2019

MSRB Solicits Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-33 - Informational Notice

Publication date: 12/20/2018

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-32 - Informational Notice

Publication date: 12/19/2018

MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

Information for:

Municipal Advisors

Rule Number:

Rule G-40

Notice 2018-27 - Informational Notice

Publication date: 09/25/2018

MSRB Facilitates Requests for Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-26 - Informational Notice

Publication date: 09/19/2018

MSRB Proposes a Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-24 - Informational Notice

Publication date: 09/17/2018

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

Information for:

Municipal Advisors

Rule Number:

Rule G-40

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 2018-04 - 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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

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

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

MSRB to Launch Permanent Series 54 Examination November 12, 2019

MSRB Seeks Input and Volunteers for Advisory Groups

MSRB Updates Rulebook with Nonsubstantive, Technical Amendments

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

MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments

MSRB Amends Rule A-16 on Examination Fees

MSRB Identifies Priority Rules for Retrospective Review in 2019

MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40

MSRB Solicits Applicants for Board of Directors

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

MSRB Facilitates Requests for Interpretive Guidance

MSRB Proposes a Municipal Advisor Principal Qualification Examination

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

MSRB Expands Advisory Groups and Seeks Volunteers

MSRB Revises Content Outlines for Professional Qualification Examinations

MSRB Modifies Professional Qualifications Program

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

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