Regulatory Documents

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Notice 2025-03 - Informational Notice

Publication date: 01/17/2025

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

Information for:

Municipal Advisors

Rule Number:

Rule A-18

Notice 2024-13 - Informational Notice

Publication date: 10/28/2024

MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology

Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

SEC Filing SR-MSRB-2024-02

Publication date: 03/21/2024

Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11

Federal Register Notice of Immediately Effective Proposed Rule Change (March 28, 2024 )

SEC Approval Order (March 22, 2024 )

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Notice 2024-05 - Informational Notice

Publication date: 03/21/2024

MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2024-02 - Informational Notice

Publication date: 01/30/2024

Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Notice 2024-01 - Informational Notice

Publication date: 01/04/2024

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

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-18

SEC Filing SR-MSRB-2023-06

Publication date: 11/30/2023

Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)

MSRB Withdrawal of Filing (February 16, 2024 )

SEC Suspension and Order Instituting Proceedings (January 29, 2024 )

MSRB Response to Comments (January 26, 2024 )

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Notice 2023-10 - Informational Notice

Publication date: 11/30/2023

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-13

Notice 2023-09 - Market Advisory

Publication date: 11/02/2023

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Dealers, Issuers, Municipal Advisors

Notice 2023-07 - Approval Notice

Publication date: 09/12/2023

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8

SEC Filing SR-MSRB-2023-05

Publication date: 07/21/2023

Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books and Records Requirements [Refiled to make technical changes, original filed on July 17, 2023]

Federal Register Notice of Approval (September 18, 2023 )

SEC Approval Order (September 12, 2023 )

MSRB Response to Comments (August 31, 2023 )

Federal Register Notice of Filing (July 31, 2023 )

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Notice 2023-05 - Approval Notice

Publication date: 05/15/2023

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-40

Notice 2023-03 - Approval Notice

Publication date: 03/30/2023

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-46

SEC Filing SR-MSRB-2023-02

Publication date: 01/31/2023

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (April 04, 2023 )

SEC Approval Order (March 29, 2023 )

Amendment No. 1 (March 23, 2023 )

MSRB Response to Comments (March 23, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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SEC Filing SR-MSRB-2023-01

Publication date: 01/31/2023

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

Federal Register Notice of Approval (May 17, 2023 )

SEC Approval Order (May 11, 2023 )

MSRB Response to Comments (April 28, 2023 )

Federal Register Notice of Amendment No. 1 (April 11, 2023 )

Amendment No. 1 (April 04, 2023 )

MSRB Response to Comments (April 04, 2023 )

SEC Request for Extension of TIme (March 21, 2023 )

Federal Register Notice of Filing (February 14, 2023 )

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Notice 2023-01 - Informational Notice

Publication date: 01/05/2023

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 2022-14 - Informational Notice

Publication date: 12/13/2022

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

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

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 2022-08 - 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 2022-01 - 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

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 2021-11 - Informational Notice

Publication date: 09/02/2021

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

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

MSRB Seeks Volunteers for Advisory Groups Including a New Group on Technology

Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11

MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees

Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees

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

Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)

MSRB Establishes 2024 Annual Rate Card Fees for Dealers and Municipal Advisors

MSRB Seeks Input and Volunteers for Advisory Groups

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media

SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8

Proposed Rule Change to Create New MSRB Rule G-46, on Duties of Solicitor Municipal Advisors, and to Amend MSRB Rule G-8, on Books and Records

Proposed Rule Change Consisting of Amendments to MSRB Rule G-40, on Advertising by Municipal Advisors, and MSRB Rule G-8, on Books and Records

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

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

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

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

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

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

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

MSRB Seeks Input and Volunteers for Advisory Group

MSRB Provides Further Extension of Time to Take the Series 54 Qualification Examination

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