Regulatory Documents

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Notice 2018-24 - Informational Notice

Publication date: 09/17/2018

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

Information for:

Municipal Advisors

Rule Number:

Rule G-40

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 2018-18 - Regulatory Reminder

Publication date: 08/14/2018

Compliance Advisory for Municipal Advisors

Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44

Compliance Resource

Publication date: 08/14/2018

Compliance Advisory for Municipal Advisors

Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44, Rule A-12

Compliance Resource

Publication date: 07/20/2018

G-37 Municipal Advisory Business Import Instructions

Information for:

Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date: 07/01/2018

Q&A Summary: MSRB Compliance Workshop on Small Firm Municipal Advisor Supervision

Information for:

Municipal Advisors

Rule Number:

Rule G-44

Compliance Resource

Publication date: 07/01/2018

Sample Template and Checklist for Municipal Advisor WSPs

Information for:

Municipal Advisors

Rule Number:

Rule G-44

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

Compliance Resource

Publication date: 06/20/2018

FAQs Regarding MSRB Rule G-42 and Making Recommendations

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

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 2018-04 - 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 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 2017-23 - 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

Compliance Resource

Publication date: 11/01/2017

FAQs on Continuing Education Program Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Compliance Resource

Publication date: 10/01/2017

Developing a CE Needs Analysis and Written Training Plan

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2017-20 - Informational Notice

Publication date: 09/29/2017

MSRB Amends Professional Fee for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule A-11

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

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

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

Notice 2017-10 - Approval Notice

Publication date: 05/17/2017

SEC Approves Continuing Education Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

Notice 2017-09 - Informational Notice

Publication date: 05/08/2017

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Compliance Resource

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-42

Regulatory Documents for the
Municipal Market

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Regulatory Document Type

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

MSRB Expands Advisory Groups and Seeks Volunteers

Compliance Advisory for Municipal Advisors

Compliance Advisory for Municipal Advisors

G-37 Municipal Advisory Business Import Instructions

Q&A Summary: MSRB Compliance Workshop on Small Firm Municipal Advisor Supervision

Sample Template and Checklist for Municipal Advisor WSPs

MSRB Revises Content Outlines for Professional Qualification Examinations

FAQs Regarding MSRB Rule G-42 and Making Recommendations

MSRB Modifies Professional Qualifications Program

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

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

MSRB Seeks Applicants for Board of Directors

MSRB to Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements

MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support

FAQs on Continuing Education Program Requirements for Municipal Advisors

Developing a CE Needs Analysis and Written Training Plan

MSRB Amends Professional Fee for Municipal Advisors

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

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

SEC Approves Continuing Education Requirements for Municipal Advisors

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Application of MSRB Rules to Solicitor Municipal Advisors

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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