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Compliance Resource
Publication date:
Guide to Printing a Certificate of Current MSRB Registraion
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

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Notice 2019-16 - Approval Notice
Publication date:
MSRB Amends Professional Fee for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule A-11

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Compliance Resource
Publication date:
Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

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Compliance Resource
Publication date:
FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

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Notice 2019-11 - Informational Notice
Publication date:
MSRB Updates Rulebook with Nonsubstantive, Technical Amendments
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-20, Rule G-26, Rule G-27, Rule G-35, Rule G-38, Rule G-41, Rule G-45

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Notice 2019-09 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Notice 2019-07 - Informational Notice
Publication date:
MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

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Notice 2019-06 - Informational Notice
Publication date:
MSRB Amends Rule A-16 on Examination Fees
Information for:

Municipal Advisors

Rule Number:

Rule A-16

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Notice 2019-04 - Informational Notice
Publication date:
MSRB Identifies Priority Rules for Retrospective Review in 2019
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Compliance Resource
Publication date:
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

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Notice 2019-03 - Informational Notice
Publication date:
MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

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Notice 2019-02 - Informational Notice
Publication date:
MSRB Solicits Applicants for Board of Directors
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Compliance Resource
Publication date:
Understanding MSRB Rules Regarding Gifts, Gratuities and Non-Cash Compensation
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-20

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Notice 2018-33 - Informational Notice
Publication date:
MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2018-32 - Informational Notice
Publication date:
MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40
Information for:

Municipal Advisors

Rule Number:

Rule G-40

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Notice 2018-30 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2018-28 - Regulatory Reminder
Publication date:
Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-27 - Informational Notice
Publication date:
MSRB Facilitates Requests for Interpretive Guidance
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-26 - Informational Notice
Publication date:
MSRB Proposes a Municipal Advisor Principal Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Notice 2018-24 - Informational Notice
Publication date:
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

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Notice 2018-23 - Informational Notice
Publication date:
MSRB Expands Advisory Groups and Seeks Volunteers
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-18 - Regulatory Reminder
Publication date:
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

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Compliance Resource
Publication date:
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

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Compliance Resource
Publication date:
G-37 Municipal Advisory Business Import Instructions
Information for:

Municipal Advisors

Rule Number:

Rule G-37

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Compliance Resource
Publication date:
Q&A Summary: MSRB Compliance Workshop on Small Firm Municipal Advisor Supervision
Information for:

Municipal Advisors

Rule Number:

Rule G-44

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