Regulatory Documents

Select regulatory documents by category:

Compliance Resource

Publication date: 09/27/2012

New Online Procedure for Documenting Dealer System Outages

Information for:

Dealers

Rule Number:

Rule G-14

Notice 2012-49 - Informational Notice

Publication date: 09/27/2012

New Online Procedure for Documenting Dealer System Outages

Information for:

Bank Dealers, Dealers

Notice 2012-48 - Informational Notice

Publication date: 09/24/2012

Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities Approved

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-34

Notice 2012-47 - Informational Notice

Publication date: 09/13/2012

MSRB Creates New Online Training Videos on Making Primary Market and Continuing Disclosure Submissions to the EMMA Website

Information for:

Bank Dealers, Dealers

Notice 2012-45 - Informational Notice

Publication date: 08/24/2012

MSRB Files Amendments with SEC to Enhance Price Transparency for Large Trades

Information for:

Bank Dealers, Dealers

Notice 2012-42 - Informational Notice

Publication date: 08/10/2012

Changes to Transaction Reporting Requirements Effective November 5, 2012

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Notice 2012-39 - Informational Notice

Publication date: 08/02/2012

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-38 - Informational Notice

Publication date: 07/18/2012

Guidance on Implementation of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17

Notice 2012-37 - Informational Notice

Publication date: 07/09/2012

Reminder of New Definition of Sophisticated Municipal Market Professional (SMMP) and Changes in Applicability of MSRB Rules to Such Market Participants

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-13, Rule G-17, Rule G-18, Rule G-19

Notice 2012-35 - Informational Notice

Publication date: 06/28/2012

MSRB Files Proposed Amendment to Rule G-34 Concerning the Designation of “Not Reoffered” in Connection with New Issues of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-34

Notice 2009-42 - Informational Notice

Publication date: 07/14/2009

Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities

Information for:

Dealers, Investors

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

Compliance Resource

Publication date:

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

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

Compliance Resource

Publication date:

Instructions for Forms G-37, G-37x and G-38t

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Summary of Ban on Business Provisions Under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

MSRB Registration Manual

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

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

Compliance Resource

Publication date:

Best Execution: The Investor's Perspective

Information for:

Dealers, Investors

Rule Number:

Rule G-18

Compliance Resource

Publication date:

Information for Municipal Securities Investors

Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-10

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:

Exemptive Relief under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

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

Compliance Resource

Publication date:

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

New Online Procedure for Documenting Dealer System Outages

New Online Procedure for Documenting Dealer System Outages

Amendments to MSRB Rule G-34 Relating to Use of the Term “Not Reoffered” for New Issues of Municipal Securities Approved

MSRB Creates New Online Training Videos on Making Primary Market and Continuing Disclosure Submissions to the EMMA Website

MSRB Files Amendments with SEC to Enhance Price Transparency for Large Trades

Changes to Transaction Reporting Requirements Effective November 5, 2012

Reminder of Effective Date of New Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Guidance on Implementation of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities

Reminder of New Definition of Sophisticated Municipal Market Professional (SMMP) and Changes in Applicability of MSRB Rules to Such Market Participants

MSRB Files Proposed Amendment to Rule G-34 Concerning the Designation of “Not Reoffered” in Connection with New Issues of Municipal Securities

Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Instructions for Forms G-37, G-37x and G-38t

Summary of Ban on Business Provisions Under MSRB Rule G-37

MSRB Registration Manual

Best Execution: The Investor's Perspective

Information for Municipal Securities Investors

Form G-45 Manual and Specifications

Checklist or Handling Client Complaints

Exemptive Relief under MSRB Rule G-37

MSRB Compliance Workshop on the Form G-37 Submission Process

Checklist for Certain Organizational Changes by Regulated Entities

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

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