Regulatory Documents

Select regulatory documents by category:

Notice 2020-15 - Informational Notice

Publication date: 09/10/2020

MSRB Makes Administrative Changes to Board Governance Rules

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-4

Notice 2020-14 - Informational Notice

Publication date: 08/06/2020

MSRB Improves Board Governance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3, Rule A-6

Notice 2020-12 - Informational Notice

Publication date: 06/24/2020

MSRB Enhances Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2020-11 - Informational Notice

Publication date: 05/28/2020

MSRB Waives Market Activity Fees for Transactions with the Municipal Market Liquidity Facility

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-13

Notice 2020-09 - Informational Notice

Publication date: 04/09/2020

MSRB Amends Certain Rules to Provide Regulatory Relief During COVID-19 Pandemic

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27, Rule G-44, Rule A-11, Rule A-12

Notice 2020-08 - Informational Notice

Publication date: 03/23/2020

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-3

Notice 2020-07 - Informational Notice

Publication date: 03/09/2020

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-27, Rule G-44

Notice 2020-06 - Informational Notice

Publication date: 02/25/2020

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2020-05 - Informational Notice

Publication date: 02/21/2020

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 2020-04 - Approval Notice

Publication date: 02/19/2020

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

IF-3

Notice 2020-03 - Informational Notice

Publication date: 01/31/2020

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2020-01 - Informational Notice

Publication date: 01/06/2020

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-11

Notice 2019-20 - Approval Notice

Publication date: 11/08/2019

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-17

Notice 2019-19 - Informational Notice

Publication date: 10/18/2019

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-18 - Informational Notice

Publication date: 10/11/2019

MSRB to Launch Permanent Series 54 Examination November 12, 2019

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2019-17 - Informational Notice

Publication date: 10/10/2019

MSRB Seeks Input and Volunteers for Advisory Groups

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2019-16 - Approval Notice

Publication date: 09/11/2019

MSRB Amends Professional Fee for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2019-11 - Informational Notice

Publication date: 04/10/2019

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

Notice 2019-09 - Informational Notice

Publication date: 03/13/2019

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 2019-07 - Informational Notice

Publication date: 02/26/2019

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

Notice 2019-06 - Informational Notice

Publication date: 02/11/2019

MSRB Amends Rule A-16 on Examination Fees

Information for:

Municipal Advisors

Rule Number:

Rule A-16

Notice 2019-04 - Informational Notice

Publication date: 02/05/2019

MSRB Identifies Priority Rules for Retrospective Review in 2019

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2019-03 - Informational Notice

Publication date: 01/28/2019

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

Notice 2019-02 - Informational Notice

Publication date: 01/07/2019

MSRB Solicits Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-33 - Informational Notice

Publication date: 12/20/2018

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Makes Administrative Changes to Board Governance Rules

MSRB Improves Board Governance

MSRB Enhances Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

MSRB Waives Market Activity Fees for Transactions with the Municipal Market Liquidity Facility

MSRB Amends Certain Rules to Provide Regulatory Relief During COVID-19 Pandemic

MSRB Extends Comment Deadline on Request for Comment on Proposed Governance Enhancements

MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus

MSRB Seeks Volunteers for Market Transparency Advisory Group (MTAG)

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

MSRB to Enhance Transparency of Timing of Issuers' Annual Disclosures on the EMMA Website

MSRB Establishes Compliance Date for Revised Interpretive Notice of Underwriters' Fair Dealing Obligations to Issuers

Obligations of Senior Syndicate Managers Utilizing Electronic Communications

SEC Approves Amendments to Underwriters’ Fair Dealing Obligations to Issuers Under Rule G-17

MSRB Revises Content Outline for the Municipal Advisor Principal Qualification Examination

MSRB to Launch Permanent Series 54 Examination November 12, 2019

MSRB Seeks Input and Volunteers for Advisory Groups

MSRB Amends Professional Fee for Municipal Advisors

MSRB Updates Rulebook with Nonsubstantive, Technical Amendments

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

MSRB Establishes Effective Date for Advertising Rules and Provides Social Media Guidance and Related Rule Amendments

MSRB Amends Rule A-16 on Examination Fees

MSRB Identifies Priority Rules for Retrospective Review in 2019

MSRB Extends Effective Date for Amendments to MSRB Rule G-21 and New MSRB Rule G-40

MSRB Solicits Applicants for Board of Directors

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

Guidance, Notices & Resources

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Regulatory Documents for the Municipal Market

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Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

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Regulatory Documents for the
Municipal Market