Regulatory Documents

Select regulatory documents by category:

Notice 2018-31 - Approval Notice

Publication date: 12/13/2018

SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2018-28 - Regulatory Reminder

Publication date: 11/08/2018

Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-27 - Informational Notice

Publication date: 09/25/2018

MSRB Facilitates Requests for Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-23 - Informational Notice

Publication date: 09/11/2018

MSRB Expands Advisory Groups and Seeks Volunteers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-17 - Regulatory Reminder

Publication date: 08/14/2018

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

Notice 2018-16 - Approval Notice

Publication date: 07/23/2018

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Notice 2018-13 - Informational Notice

Publication date: 06/25/2018

MSRB Revises Content Outlines for Professional Qualification Examinations

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-11 - Informational Notice

Publication date: 06/11/2018

MSRB Modifies Professional Qualifications Program

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-08 - Approval Notice

Publication date: 05/07/2018

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

Notice 2018-07 - Regulatory Reminder

Publication date: 04/12/2018

Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-19, Rule G-30, Rule G-47

Notice 2018-06 - Informational Notice

Publication date: 04/04/2018

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2018-05 -

Publication date: 03/19/2018

MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2018-04 - Informational Notice

Publication date: 03/13/2018

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 2018-02 - Informational Notice

Publication date: 01/08/2018

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-01 - Regulatory Reminder

Publication date: 01/03/2018

MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-43

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

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 2017-13 - 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

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

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

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs

Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website

MSRB Facilitates Requests for Interpretive Guidance

MSRB Expands Advisory Groups and Seeks Volunteers

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

MSRB Revises Content Outlines for Professional Qualification Examinations

MSRB Modifies Professional Qualifications Program

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price

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

MSRB Seeks Applicants for Board of Directors

MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers

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

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

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

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

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

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