Regulatory Documents

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Notice 2012-64 - Informational Notice

Publication date: 12/24/2012

SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-14, Rule G-32, Rule G-34

Notice 2012-62 - Informational Notice

Publication date: 12/17/2012

Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-9, Rule G-18, Rule G-43

Notice 2012-60 - Informational Notice

Publication date: 11/29/2012

MSRB Extends Implementation Date of Inter-Dealer Regulatory Dollar Price Reporting Requirement

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-57 - Informational Notice

Publication date: 11/16/2012

MSRB Revises Series 53 Study Outline

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2012-53 - Informational Notice

Publication date: 10/25/2012

SEC Approves Enhancement to Large Trade Price Transparency

Information for:

Bank Dealers, Dealers

Notice 2012-54 - Informational Notice

Publication date: 10/25/2012

Reminder of November 1, 2012 Effective Date Regarding Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-34

Notice 2012-52 - Informational Notice

Publication date: 10/23/2012

MSRB Files Amendments with SEC to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-14, Rule G-32, Rule G-34

Notice 2012-51 - Informational Notice

Publication date: 10/09/2012

Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-49 - Informational Notice

Publication date: 09/27/2012

New Online Procedure for Documenting Dealer System Outages

Information for:

Bank Dealers, Dealers

Notice 2012-48 - Informational Notice

Publication date: 09/24/2012

Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities Approved

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-34

Notice 2012-47 - Informational Notice

Publication date: 09/13/2012

MSRB Creates New Online Training Videos on Making Primary Market and Continuing Disclosure Submissions to the EMMA Website

Information for:

Bank Dealers, Dealers

Notice 2012-46 - Informational Notice

Publication date: 08/27/2012

MSRB and SIFMA to Co-Host Municipal Securities Regulation Seminar in New York

Notice 2012-45 - Informational Notice

Publication date: 08/24/2012

MSRB Files Amendments with SEC to Enhance Price Transparency for Large Trades

Information for:

Bank Dealers, Dealers

Notice 2012-44 - Informational Notice

Publication date: 08/21/2012

MSRB and BDA to Co-Host Municipal Securities Regulation Seminar in Chicago

Notice 2012-42 - Informational Notice

Publication date: 08/10/2012

Changes to Transaction Reporting Requirements Effective November 5, 2012

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-39 - Informational Notice

Publication date: 08/02/2012

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-38 - Informational Notice

Publication date: 07/18/2012

Guidance on Implementation of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-37 - Informational Notice

Publication date: 07/09/2012

Reminder of New Definition of Sophisticated Municipal Market Professional (SMMP) and Changes in Applicability of MSRB Rules to Such Market Participants

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-13, Rule G-17, Rule G-18, Rule G-19

Notice 2012-35 - Informational Notice

Publication date: 06/28/2012

MSRB Files Proposed Amendment to Rule G-34 Concerning the Designation of “Not Reoffered” in Connection with New Issues of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-34

Notice 2012-34 - Informational Notice

Publication date: 06/25/2012

Securities and Exchange Commission Approves MSRB Proposal on Regulation of Broker’s Brokers

Rule Number:

Rule G-8, Rule G-9, Rule G-18, Rule G-43

Notice 2012-33 - Informational Notice

Publication date: 06/18/2012

EMMA Primary Market, Continuing Disclosure and SHORT System Historical Products Now Available

Notice 2012-32 - Informational Notice

Publication date: 06/15/2012

Reminder of June 16, 2012 Effective Date Regarding Amendments to MSRB Rule G-9 on Preservation of Records

Rule Number:

Rule G-9

Notice 2012-31 - Informational Notice

Publication date: 06/06/2012

MSRB to Hold Webinar on Upcoming Changes to MSRB Rule G-17 Regarding the Duties of Underwriters to State and Local Governments

Notice 2012-30 - Informational Notice

Publication date: 06/04/2012

Reminder of Upcoming Change to Transaction Reporting Requirements and Availability of Technical Specifications

Notice 2012-27 - Informational Notice

Publication date: 05/29/2012

Securities and Exchange Commission Approves Revised MSRB Definition of Sophisticated Municipal Market Professional

Rule Number:

Rule G-13, Rule G-17, Rule G-18, Rule G-19

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Reminder of Effective Date of New Rule and Interpretive Notice Concerning Regulation of Broker's Brokers

MSRB Extends Implementation Date of Inter-Dealer Regulatory Dollar Price Reporting Requirement

MSRB Revises Series 53 Study Outline

SEC Approves Enhancement to Large Trade Price Transparency

Reminder of November 1, 2012 Effective Date Regarding Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities

MSRB Files Amendments with SEC to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34

Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements

New Online Procedure for Documenting Dealer System Outages

Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities Approved

MSRB Creates New Online Training Videos on Making Primary Market and Continuing Disclosure Submissions to the EMMA Website

MSRB and SIFMA to Co-Host Municipal Securities Regulation Seminar in New York

MSRB Files Amendments with SEC to Enhance Price Transparency for Large Trades

MSRB and BDA to Co-Host Municipal Securities Regulation Seminar in Chicago

Changes to Transaction Reporting Requirements Effective November 5, 2012

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Guidance on Implementation of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Reminder of New Definition of Sophisticated Municipal Market Professional (SMMP) and Changes in Applicability of MSRB Rules to Such Market Participants

MSRB Files Proposed Amendment to Rule G-34 Concerning the Designation of “Not Reoffered” in Connection with New Issues of Municipal Securities

Securities and Exchange Commission Approves MSRB Proposal on Regulation of Broker’s Brokers

EMMA Primary Market, Continuing Disclosure and SHORT System Historical Products Now Available

Reminder of June 16, 2012 Effective Date Regarding Amendments to MSRB Rule G-9 on Preservation of Records

MSRB to Hold Webinar on Upcoming Changes to MSRB Rule G-17 Regarding the Duties of Underwriters to State and Local Governments

Reminder of Upcoming Change to Transaction Reporting Requirements and Availability of Technical Specifications

Securities and Exchange Commission Approves Revised MSRB Definition of Sophisticated Municipal Market Professional

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the Municipal Market

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market