Regulatory Documents

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Notice 2017-25 - Approval Notice

Publication date: 12/15/2017

MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-34

Notice 2017-24 - Approval Notice

Publication date: 12/08/2017

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

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

SEC Filing SR-MSRB-2017-08

Publication date: 10/13/2017

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Federal Register Notice of Approval (December 14, 2017 )

SEC Approval Order (December 08, 2017 )

MSRB Response to Comments (December 01, 2017 )

Federal Register Notice of Filing (October 27, 2017 )

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SEC Filing SR-MSRB-2017-07

Publication date: 09/29/2017

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

Federal Register Notice of Immediately Effective Rule Change (October 16, 2017 )

SEC Approval Order (October 10, 2017 )

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Notice 2017-20 - Informational Notice

Publication date: 09/29/2017

MSRB Amends Professional Fee for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2017-18 - Market Advisory

Publication date: 09/13/2017

Notice Removed

SEC Filing SR-MSRB-2017-06

Publication date: 08/30/2017

Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

Federal Register Notice of Approval (December 20, 2017 )

SEC Approval Order (December 14, 2017 )

MSRB Response to Comments (December 08, 2017 )

Federal Register Notice of Filing of Amendment No. 1 (November 17, 2017 )

MSRB Response to Comments (November 07, 2017 )

Amendment No. 1 (November 07, 2017 )

SEC Request for Extension of Time (October 18, 2017 )

Federal Register Notice of Filing (September 18, 2017 )

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Notice 2017-16 - Approval Notice

Publication date: 08/21/2017

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-21

Notice 2017-15 - Approval Notice

Publication date: 07/31/2017

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

Notice 2017-14 - Market Advisory

Publication date: 07/27/2017

Notice Removed

SEC Filing SR-MSRB-2017-05

Publication date: 07/19/2017

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

MSRB Response to Comments (September 14, 2017 )

Federal Register Notice of Immediately Effective Rule Change (August 04, 2017 )

SEC Approval Order (July 31, 2017 )

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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

SEC Filing SR-MSRB-2017-04

Publication date: 06/22/2017

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

Federal Register Notice of Approval (August 24, 2017 )

SEC Approval Order (August 18, 2017 )

MSRB Response to Comments (August 09, 2017 )

Amendment No. 1 (August 09, 2017 )

Federal Register Notice of Filing (July 07, 2017 )

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SEC Filing SR-MSRB-2017-03

Publication date: 05/26/2017

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

Federal Register Notice of Approval (August 02, 2017 )

SEC Approval Order (July 27, 2017 )

MSRB Response to Comments (July 20, 2017 )

Amendment No. 1 (July 20, 2017 )

Federal Register Notice of Filing (June 14, 2017 )

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Notice 2017-10 - Approval Notice

Publication date: 05/17/2017

SEC Approves Continuing Education Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

Notice 2017-09 - Informational Notice

Publication date: 05/08/2017

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2017-08 - Informational Notice

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

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

SEC Filing SR-MSRB-2017-02

Publication date: 03/22/2017

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

Federal Register Notice of Approval (May 22, 2017 )

SEC Approval Order (May 16, 2017 )

MSRB Response to Comment (May 10, 2017 )

Federal Register Notice of Filing (April 04, 2017 )

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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

SEC Filing SR-MSRB-2017-01

Publication date: 01/24/2017

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15 (SR-MSRB-2017-01 WITHDRAWN)

Federal Register Notice of Withdrawal (May 11, 2017 )

MSRB Withdrawal of Filing (May 01, 2017 )

SEC Request for Extension of Time (March 21, 2017 )

Federal Register Notice of Filing (February 09, 2017 )

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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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

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

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

MSRB Amends Professional Fee for Municipal Advisors

Notice Removed

Proposed Rule Change to Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

Notice Removed

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

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

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

SEC Approves Continuing Education Requirements for Municipal Advisors

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Application of MSRB Rules to Solicitor Municipal Advisors

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

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

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

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15 (SR-MSRB-2017-01 WITHDRAWN)

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

Guidance, Notices & Resources

MSRB Rule Book

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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