Regulatory Documents

Select regulatory documents by category:

Notice 2014-22 - Informational Notice

Publication date: 12/08/2014

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2014-21 - Informational Notice

Publication date: 11/25/2014

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

Notice 2014-19 - Informational Notice

Publication date: 10/24/2014

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9

Notice 2014-17 - Informational Notice

Publication date: 10/17/2014

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2014-13 - Informational Notice

Publication date: 08/04/2014

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3, Rule G-7, Rule G-27

Notice 2014-10 - Informational Notice

Publication date: 05/12/2014

Guidance on the MSRB Municipal Advisor Registration Process

Information for:

Municipal Advisors

Rule Number:

Rule A-12

Notice 2014-11 - Informational Notice

Publication date: 05/12/2014

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-30, Rule G-48

Notice 2014-09 - Informational Notice

Publication date: 04/17/2014

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2014-07 - Informational Notice

Publication date: 03/12/2014

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-19

Notice 2014-06 - Informational Notice

Publication date: 02/28/2014

Fee Changes for Data Subscription Products and Services

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2014-05 - Informational Notice

Publication date: 02/27/2014

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14, Rule A-12

Notice 2014-03 - Informational Notice

Publication date: 02/24/2014

MSRB to Collect Additional Data About 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule G-8, Rule G-9

Compliance Resource

Publication date: 01/08/2014

FAQs on MSRB Registration

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2007-40 - Informational Notice

Publication date: 12/21/2007

Reporting of Transactions Arising From Customer Repurchase Agreements: Rule G-14

Rule Number:

Rule G-14

Notice 2007-39 - Informational Notice

Publication date: 12/20/2007

New RTRS Error Message and Changes to Existing RTRS Error Messages

Notice 2007-38 - Informational Notice

Publication date: 12/18/2007

SEC Approves Amendments to Rule G-40 on E-Mail Contacts, Effective December 31, 2007

Notice 2007-37 - Informational Notice

Publication date: 11/28/2007

Announcing MSRB 529 Compliance Seminars

Notice 2007-36 - Informational Notice

Publication date: 11/27/2007

Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System

Rule Number:

Rule G-8, Rule G-9, Rule G-14, Rule G-34

Notice 2007-35 - Informational Notice

Publication date: 11/19/2007

Dealer Data Quality Summary of Correspondent's Trades

Notice 2007-34 - Informational Notice

Publication date: 11/16/2007

RTRS Educational Conference Calls

Rule Number:

Rule G-14, Rule G-12

Notice 2007-33 - Informational Notice

Publication date: 11/15/2007

MSRB Files Pilot Portal for On-Line Dissemination of Official Statements and Related Information and Seeks Comments on Revised Draft Amendments to Establish an Access Equals Delivery Standard Under Rule G-32

Rule Number:

Rule G-32

Notice 2007-32 - Informational Notice

Publication date: 11/08/2007

Guidance on Implementation of New Supervisory Requirements Under Rule G-27; Technical Amendments Filed

Rule Number:

Rule G-27

Notice 2007-31 - Informational Notice

Publication date: 10/16/2007

Notice of Filing of Proposed Amendments to Rule G-40 on Electronic Mail Contacts

Notice 2007-30 - Informational Notice

Publication date: 10/02/2007

MSRB and SIFMA to Hold Compliance Seminar on October 22, 2007

Notice 2007-28 - Informational Notice

Publication date: 09/17/2007

Further Technical Amendment Filed to Rule A-3, on Membership on the Board

Rule Number:

Rule A-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Guidance on the MSRB Municipal Advisor Registration Process

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Fee Changes for Data Subscription Products and Services

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

MSRB to Collect Additional Data About 529 College Savings Plans

FAQs on MSRB Registration

Reporting of Transactions Arising From Customer Repurchase Agreements: Rule G-14

New RTRS Error Message and Changes to Existing RTRS Error Messages

SEC Approves Amendments to Rule G-40 on E-Mail Contacts, Effective December 31, 2007

Announcing MSRB 529 Compliance Seminars

Notice of Filing of Proposed Rule Changes to Extend the Expiration of the Three-Hour Exception and to Require Underwriter Participation with DTCC'S NIIDS System

Dealer Data Quality Summary of Correspondent's Trades

RTRS Educational Conference Calls

MSRB Files Pilot Portal for On-Line Dissemination of Official Statements and Related Information and Seeks Comments on Revised Draft Amendments to Establish an Access Equals Delivery Standard Under Rule G-32

Guidance on Implementation of New Supervisory Requirements Under Rule G-27; Technical Amendments Filed

Notice of Filing of Proposed Amendments to Rule G-40 on Electronic Mail Contacts

MSRB and SIFMA to Hold Compliance Seminar on October 22, 2007

Further Technical Amendment Filed to Rule A-3, on Membership on the Board

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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