Regulatory Documents

Select regulatory documents by category:

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 )

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SEC Filing (WITHDRAWN) SR-MSRB-2017-01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

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 )

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

Notice 2017-02 - Informational Notice

Publication date: 01/09/2017

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Compliance Resource

Publication date: 01/01/2017

Considerations for Developing a Municipal Advisory Supervisory System and Compliance Program

Information for:

Municipal Advisors

Rule Number:

Rule G-44

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

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

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

MSRB Seeks Applicants for Board of Directors

Considerations for Developing a Municipal Advisory Supervisory System and Compliance Program

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 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

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

MSRB Seeks Applicants for Board of Directors

Considerations for Developing a Municipal Advisory Supervisory System and Compliance Program

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market