Regulatory Documents

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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

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

Compliance Resource

Publication date: 12/30/2022

Preparing to Submit MSRB Form A-12

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Compliance Resource

Publication date: 07/18/2022

Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-14, Rule G-15, Rule G-16, Rule G-18, Rule G-20, Rule G-23, Rule G-27, Rule G-30, Rule G-32, Rule A-11, Rule A-12, Rule A-13

Compliance Resource

Publication date: 08/02/2021

Summary Table of New Fields for Amended Form G-32

Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-32

Compliance Resource

Publication date: 10/10/2019

FAQs Regarding MSRB Rule G-12 on Close-Outs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Compliance Resource

Publication date: 10/01/2019

Guide to Printing a Certificate of Current MSRB Registraion

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Compliance Resource

Publication date: 02/07/2019

FAQs on Price Variance Alerts on Reported Trades

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 02/01/2019

Resources Related to 2019 Municipal Securities Examination Priorities

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

Compliance Resource

Publication date: 01/06/2019

Understanding MSRB Rules Regarding Gifts, Gratuities and Non-Cash Compensation

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-20

Compliance Resource

Publication date: 07/26/2018

Resource on Disclosing Mark-ups and Determining Prevailing Market Price

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Compliance Resource

Publication date: 09/01/2017

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10

Compliance Resource

Publication date: 06/01/2017

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource

Publication date: 03/02/2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 01/08/2014

FAQs on MSRB Registration

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Compliance Resource

Publication date: 05/02/2013

Presentation on Changes to Rules Relating to New Issue Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-33

Compliance Resource

Publication date:

Form G-45 Manual and Specifications

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Compliance Resource

Publication date:

Checklist or Handling Client Complaints

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource

Publication date:

MSRB Compliance Workshop on the Form G-37 Submission Process

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Checklist for Certain Organizational Changes by Regulated Entities

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Common Compliance Questions & News Library

Compliance Tip of the Week Archive

Preparing to Submit MSRB Form A-12

Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief

Summary Table of New Fields for Amended Form G-32

FAQs Regarding MSRB Rule G-12 on Close-Outs

Guide to Printing a Certificate of Current MSRB Registraion

FAQs on Price Variance Alerts on Reported Trades

Resources Related to 2019 Municipal Securities Examination Priorities

Understanding MSRB Rules Regarding Gifts, Gratuities and Non-Cash Compensation

Resource on Disclosing Mark-ups and Determining Prevailing Market Price

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

FAQs on MSRB Registration

Presentation on Changes to Rules Relating to New Issue Reporting

Form G-45 Manual and Specifications

Checklist or Handling Client Complaints

MSRB Compliance Workshop on the Form G-37 Submission Process

Checklist for Certain Organizational Changes by Regulated Entities

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 Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market