Regulatory Documents

Select regulatory documents by category:

Notice 2023-10 - Informational Notice

Publication date: 11/30/2023

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Notice 2023-09 - Market Advisory

Publication date: 11/02/2023

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Dealers, Issuers, Municipal Advisors

Notice 2023-07 - Approval Notice

Publication date: 09/12/2023

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8

Compliance Resource

Publication date: 07/03/2023

Assessing Supervision of Municipal Advisor Advertising Regulations

Rule Number:

Rule G-40

Compliance Resource

Publication date: 07/03/2023

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

Rule Number:

Rule G-40

Compliance Resource

Publication date: 07/03/2023

FAQs on Use of Municipal Advisory Client Lists and Case Studies

Rule Number:

Rule G-40

Notice 2023-06 - Approval Notice

Publication date: 05/30/2023

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

Information for:

Dealers

Rule Number:

Rule G-12, Rule G-15

Notice 2023-05 - Approval Notice

Publication date: 05/15/2023

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-40

Compliance Resource

Publication date: 05/04/2023

Common Compliance Questions & News Library

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-12, Rule G-14, Rule G-17, Rule G-18, Rule G-21, Rule G-30, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule A-12

Notice 2023-04 - Informational Notice

Publication date: 04/27/2023

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

Information for:

Dealers

Rule Number:

Rule G-16, Rule G-27

Notice 2023-03 - Approval Notice

Publication date: 03/30/2023

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-46

Compliance Resource

Publication date: 03/02/2023

Compliance Tip of the Week Archive

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-7, Rule G-8, Rule G-9, Rule G-10, Rule G-11, Rule G-12, Rule G-13, Rule G-14, Rule G-15, Rule G-17, Rule G-18, Rule G-19, Rule G-20, Rule G-21, Rule G-23, Rule G-27, Rule G-32, Rule G-34, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule G-45, Rule G-47, Rule G-48, Rule A-11, Rule A-12, Rule A-13, Rule D-10

Notice 2023-01 - Informational Notice

Publication date: 01/05/2023

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 2015-23 - Informational Notice

Publication date: 11/20/2015

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

Information for:

Bank Dealers, Dealers

Rule Number:

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

Notice 2015-21 - Informational Notice

Publication date: 11/09/2015

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-20

Notice 2015-20 - Informational Notice

Publication date: 11/03/2015

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-19 - Informational Notice

Publication date: 10/20/2015

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15

Notice 2015-17 - Informational Notice

Publication date: 09/30/2015

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-15 - Informational Notice

Publication date: 09/08/2015

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-14 - Informational Notice

Publication date: 09/03/2015

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

Information for:

Bank Dealers, Dealers

Rule Number:

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

Notice 2015-13 - Informational Notice

Publication date: 08/10/2015

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12, Rule A-13

Notice 2015-12 - Informational Notice

Publication date: 07/31/2015

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2015-11 - Informational Notice

Publication date: 07/23/2015

MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-09 - Informational Notice

Publication date: 06/30/2015

MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2015-07 - Informational Notice

Publication date: 05/26/2015

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

MSRB Seeks Input and Volunteers for Advisory Groups

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

Assessing Supervision of Municipal Advisor Advertising Regulations

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

FAQs on Use of Municipal Advisory Client Lists and Case Studies

MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

Common Compliance Questions & News Library

MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Compliance Tip of the Week Archive

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

MSRB Provides Implementation Guidance on MSRB Rule G-18, on Best Execution

SEC Approves Amendments to MSRB Rule G-20 on Gifts, Gratuities and Non-Cash Compensation and Related Amendments to MSRB Rule G-8

MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing

MSRB Extends Comment Deadline on Confirmation Disclosure Proposal

MSRB Amends its Continuing Education Requirements to Facilitate Web-based Delivery of Regulatory Element Training

MSRB’s Series 50 Pilot Examination to be Offered January 15, 2016 – February 15, 2016

MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments

MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses

MSRB Revises Content Outlines for its Professional Qualification Examinations for Municipal Securities Dealers

MSRB Documents System Hours in EMMA System, RTRS and SHORT System Information Facilities

MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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