Regulatory Documents

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Notice 2004-11 - Request for Comment

Publication date: 04/05/2004 | Comment due: 06/04/2004

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Rule Number:

Rule G-37, Rule G-8, Rule G-9

No comments available.

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Notice 2003-23 - Request for Comment

Publication date: 06/13/2003 | Comment due: 09/15/2003

Request for Comment: Plan for Real –Time Price Reporting

Rule Number:

Rule G-14

No comments available.

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Notice 2002-12 - Request for Comment

Publication date: 04/02/2002 | Comment due: 06/03/2002

Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions

Rule Number:

Rule G-37

No comments available.

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Notice 2001-45 - Request for Comment

Publication date: 12/19/2001 | Comment due: 01/25/2002

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Rule Number:

Rule G-3, Rule G-37

No comments available.

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Notice 2001-25 - Request for Comment

Publication date: 07/06/2001 | Comment due: 10/01/2001

Notice and Draft Interpretive Guidance on Rule G-17—Disclosure of Material Facts and Interpretive Guidance Concerning Sophisticated Municipal Market Professionals

Rule Number:

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

No comments available.

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Notice 2001-19 - Request for Comment

Publication date: 06/04/2001 | Comment due: 09/30/2001

MSRB Review of Rule G-37

Rule Number:

Rule G-37

No comments available.

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Notice 2001-17 - Request for Comment

Publication date: 05/29/2001 | Comment due: 09/30/2001

Request for Comments on Real-Time Reporting of Municipal Securities Transactions

No comments available.

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Notice 2001-13 - Request for Comment

Publication date: 03/28/2001 | Comment due: 06/07/2001

Request for Comments on Official Communications

Rule Number:

Rule G-15

No comments available.

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Notice 2001-08 - Request for Comment

Publication date: 03/14/2001 | Comment due: 06/01/2001

Request for Comments on Minimum Denominations

Rule Number:

Rule G-15

No comments available.

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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:

Information for Municipal Advisory Clients

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-10

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

Compliance Resource

Publication date:

Municipal Advisor Outsourcing of Compliance Functions

Information for:

Municipal Advisors

Rule Number:

Rule G-44

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Request for Comments on Draft Amendment to Rule G-38 Relating to Solicitation of Municipal Securities Business

Request for Comment: Plan for Real –Time Price Reporting

Request for Comments on Notice Regarding Draft Amendments to Rule G-37 on Political Contributions

Municipal Fund Securities - Request for Comment on Draft Amendment Creating Municipal Fund Securities Limited Principal Category; Interpretive Notice on Commissions and Other Charges, Advertisements and Official Statements

Notice and Draft Interpretive Guidance on Rule G-17—Disclosure of Material Facts and Interpretive Guidance Concerning Sophisticated Municipal Market Professionals

MSRB Review of Rule G-37

Request for Comments on Real-Time Reporting of Municipal Securities Transactions

Request for Comments on Official Communications

Request for Comments on Minimum Denominations

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

Information for Municipal Advisory Clients

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

Municipal Advisor Outsourcing of Compliance Functions

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