Regulatory Documents

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Notice 2022-13 - Request for Comment

Publication date: 12/01/2022 | Comment due: 01/30/2023

Request for Comment on Draft Amendments to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-3

All Comments to Notice 2022-13

National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 30, 2023
Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated January 30, 2023
Wulff, Hansen & Co.: Letter from Chris Charles, President, dated December 29, 2022

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Notice 2022-12 - Informational Notice

Publication date: 11/16/2022

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27

Compliance Resource

Publication date: 11/07/2022

Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing

Information for:

Dealers

Rule Number:

Rule G-17, Rule G-27

Notice 2022-10 - Informational Notice

Publication date: 10/31/2022

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2022-09 - Informational Notice

Publication date: 08/30/2022

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

Information for:

Dealers

Rule Number:

Rule G-3

Notice 2022-08 - Approval Notice

Publication date: 08/26/2022

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

Notice 2022-06 - Informational Notice

Publication date: 07/29/2022

MSRB Revises and Resubmits Annual Rate Card Amendments

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Notice 2022-05 - Informational Notice

Publication date: 07/25/2022

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

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

Notice 2022-04 - Informational Notice

Publication date: 06/24/2022

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

Notice 2022-03 - Informational Notice

Publication date: 06/02/2022

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Compliance Resource

Publication date: 05/12/2022

G-32 Form Updates

Information for:

Dealers, Investors

Rule Number:

Rule G-32

Notice 2022-02 - Informational Notice

Publication date: 03/02/2022

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2022-01 - Informational Notice

Publication date: 01/13/2022

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

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Compliance Resource

Publication date: 01/01/2022

Annual Affirmation Guide

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Notice 2021-16 - Informational Notice

Publication date: 12/06/2021

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-17, Rule G-27, Rule G-42, Rule G-44

Notice 2021-15 - Informational Notice

Publication date: 11/11/2021

MSRB Seeks Input and Volunteers for Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2021-14 - Informational Notice

Publication date: 10/26/2021

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2021-13 - Informational Notice

Publication date: 10/06/2021

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-10, Rule G-48

Notice 2021-12 - Request for Comment

Publication date: 10/05/2021 | Comment due: 01/19/2022

Request for Comment on Draft Compliance Resources for Dealers and Municipal Advisors Concerning New Issue Pricing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-17, Rule G-27, Rule G-42, Rule G-44

All Comments to Notice 2021-12

1. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated January 19, 2022

2. First River Advisory L.L.C.: Letter from Shelley J. Aronson dated January 18, 2022

3. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated January 19, 2022

4. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Matthew Roberts, Assistant Vice President, dated January 19, 2022

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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: 06/30/2021

Frequently Asked Questions About Form G-32

Information for:

Dealers, Investors

Rule Number:

Rule G-32

Notice 2021-09 - Informational Notice

Publication date: 05/19/2021

MSRB Updates Rule A-8, on Rulemaking Procedures

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-8

Notice 2021-08 - Request for Comment

Publication date: 05/14/2021 | Comment due: 06/28/2021

Request for Comment on Amendments to Rule G-10 Notification Requirements for Dealers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-10, Rule G-48, Rule D-9, Rule D-15

All Comments to Notice 2021-08

1. American Securities Association: Letter from Christopher A. Iacovella, Chief Executive Officer, dated June 28, 2021

2. Bond Dealers of America: Letter from Michael Decker, Senior Vice President, dated June 28, 2021

3. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated June 28, 2021

4. Szaro, Jennifer: Email dated May 17, 2021

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Notice 2021-05 - Informational Notice

Publication date: 03/01/2021

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Request for Comment on Draft Amendments to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

MSRB Revises and Resubmits Annual Rate Card Amendments

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

G-32 Form Updates

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

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

Annual Affirmation Guide

MSRB Extends Comment Deadline on Request for Comment on New Issue Pricing Resources

MSRB Seeks Input and Volunteers for Advisory Group

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic

SEC Approves Amendments to Rules G-10 and G-48 Clarifying Notification Requirements for Dealers

Request for Comment on Draft Compliance Resources for Dealers and Municipal Advisors Concerning New Issue Pricing

Summary Table of New Fields for Amended Form G-32

Frequently Asked Questions About Form G-32

MSRB Updates Rule A-8, on Rulemaking Procedures

Request for Comment on Amendments to Rule G-10 Notification Requirements for Dealers

MSRB Temporarily Reduces Market Activity Fees by 40 Percent

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