Regulatory Documents

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SEC Filing SR-MSRB-2019-01

Publication date: 01/28/2019

Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40

Federal Register Notice of Immediately Effective Rule Change (February 04, 2019 )

SEC Approval Order (January 29, 2019 )

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SEC Filing SR-MSRB-2018-10

Publication date: 12/20/2018

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Federal Register Notice of Immediately Effective Rule Change (December 31, 2018 )

SEC Approval Order (December 21, 2018 )

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SEC Filing SR-MSRB-2018-09

Publication date: 12/07/2018

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

Federal Register Notice of Immediately Effective Rule Change (December 21, 2018 )

SEC Approval Order (December 17, 2018 )

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SEC Filing SR-MSRB-2018-08

Publication date: 10/15/2018

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register Notice of Approval (December 18, 2018 )

SEC Approval Order (December 12, 2018 )

Federal Register Notice of Filing (November 02, 2018 )

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SEC Filing SR-MSRB-2018-07

Publication date: 09/19/2018

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

Federal Register Notice of Approval (November 27, 2018 )

SEC Approval Order (November 20, 2018 )

MSRB Response to Comments (November 16, 2018 )

Federal Register Notice of Filing (October 09, 2018 )

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SEC Filing SR-MSRB-2018-06

Publication date: 07/23/2018

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Federal Register Notice of Immediately Effective Rule Change (August 01, 2018 )

SEC Approval Order (July 26, 2018 )

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SEC Filing SR-MSRB-2018-05

Publication date: 06/25/2018

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

Federal Register Notice of Immediately Effective Rule Change (July 06, 2018 )

SEC Approval Order (June 29, 2018 )

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SEC Filing SR-MSRB-2018-04

Publication date: 06/08/2018

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Federal Register Notice of Immediately Effective Rule Change (June 26, 2018 )

SEC Approval Order (June 20, 2018 )

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SEC Filing SR-MSRB-2018-03

Publication date: 05/01/2018

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Federal Register Notice of Immediately Effective Rule Change (May 16, 2018 )

SEC Approval Order (May 10, 2018 )

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SEC Filing SR-MSRB-2018-02

Publication date: 04/02/2018

Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System

Federal Register Notice of Immediately Effective Rule Change (April 18, 2018 )

SEC Approval Order (April 12, 2018 )

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SEC Filing SR-MSRB-2018-01

Publication date: 01/24/2018

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

Federal Register Notice of Approval (May 10, 2018 )

SEC Approval Order (May 07, 2018 )

MSRB Response to Comments (April 30, 2018 )

SEC Request for Extension of Time (March 16, 2018 )

Federal Register Notice of Filing (February 07, 2018 )

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SEC Filing SR-MSRB-2017-08

Publication date: 10/13/2017

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Federal Register Notice of Approval (December 14, 2017 )

SEC Approval Order (December 08, 2017 )

MSRB Response to Comments (December 01, 2017 )

Federal Register Notice of Filing (October 27, 2017 )

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SEC Filing SR-MSRB-2017-07

Publication date: 09/29/2017

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

Federal Register Notice of Immediately Effective Rule Change (October 16, 2017 )

SEC Approval Order (October 10, 2017 )

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SEC Filing SR-MSRB-2017-06

Publication date: 08/30/2017

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

Federal Register Notice of Approval (December 20, 2017 )

SEC Approval Order (December 14, 2017 )

MSRB Response to Comments (December 08, 2017 )

Federal Register Notice of Filing of Amendment No. 1 (November 17, 2017 )

Amendment No. 1 (November 07, 2017 )

MSRB Response to Comments (November 07, 2017 )

SEC Request for Extension of Time (October 18, 2017 )

Federal Register Notice of Filing (September 18, 2017 )

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SEC Filing SR-MSRB-2017-05

Publication date: 07/19/2017

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

MSRB Response to Comments (September 14, 2017 )

Federal Register Notice of Immediately Effective Rule Change (August 04, 2017 )

SEC Approval Order (July 31, 2017 )

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SEC Filing SR-MSRB-2017-04

Publication date: 06/22/2017

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

Federal Register Notice of Approval (August 24, 2017 )

SEC Approval Order (August 18, 2017 )

MSRB Response to Comments (August 09, 2017 )

Amendment No. 1 (August 09, 2017 )

Federal Register Notice of Filing (July 07, 2017 )

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SEC Filing SR-MSRB-2017-03

Publication date: 05/26/2017

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

Federal Register Notice of Approval (August 02, 2017 )

SEC Approval Order (July 27, 2017 )

MSRB Response to Comments (July 20, 2017 )

Amendment No. 1 (July 20, 2017 )

Federal Register Notice of Filing (June 14, 2017 )

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SEC Filing SR-MSRB-2017-02

Publication date: 03/22/2017

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

Federal Register Notice of Approval (May 22, 2017 )

SEC Approval Order (May 16, 2017 )

MSRB Response to Comment (May 10, 2017 )

Federal Register Notice of Filing (April 04, 2017 )

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SEC Filing SR-MSRB-2017-01

Publication date: 01/24/2017

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15 (SR-MSRB-2017-01 WITHDRAWN)

Federal Register Notice of Withdrawal (May 11, 2017 )

MSRB Withdrawal of Filing (May 01, 2017 )

SEC Request for Extension of Time (March 21, 2017 )

Federal Register Notice of Filing (February 09, 2017 )

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SEC Filing SR-MSRB-2016-15

Publication date: 11/01/2016

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

Federal Register Notice of Approval (January 23, 2017 )

SEC Approval Order (January 13, 2017 )

MSRB Response to Comments (January 10, 2017 )

Amendment No. 1 (January 10, 2017 )

SEC Request for Extension of Time (December 13, 2016 )

Federal Register Notice of Filing (November 18, 2016 )

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SEC Filing SR-MSRB-2016-14

Publication date: 10/25/2016

Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product

Federal Register Notice of Immediately Effective Rule Change (November 10, 2016 )

SEC Approval Order (November 04, 2016 )

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SEC Filing SR-MSRB-2016-13

Publication date: 10/24/2016

Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum

Federal Register Notice of Immediately Effective Rule Change (November 09, 2016 )

SEC Approval Order (November 03, 2016 )

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SEC Filing SR-MSRB-2016-12

Publication date: 09/01/2016

Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price

Federal Register Notice of Approval (November 23, 2016 )

SEC Approval Order (November 17, 2016 )

Amendment No. 1 (November 14, 2016 )

MSRB Response to Comments (November 14, 2016 )

SEC Request for Extension of Time (October 19, 2016 )

Federal Register Notice of Filing (September 13, 2016 )

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SEC Filing SR-MSRB-2016-11

Publication date: 08/12/2016

Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities

Federal Register Notice of Immediately Effective Rule Change (August 26, 2016 )

SEC Approval Order (August 22, 2016 )

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SEC Filing SR-MSRB-2016-09

Publication date: 06/30/2016

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Federal Register Notice of Approval (September 19, 2016 )

SEC Approval Order (September 13, 2016 )

SEC Request for Extension of Time (September 01, 2016 )

MSRB Letter to SEC about Amendment No. 1 (September 01, 2016 )

Amendment No. 1 (August 31, 2016 )

MSRB Response to Comments (August 29, 2016 )

Federal Register Notice of Filing (July 20, 2016 )

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

Proposed Rule Change to Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System

Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors

Proposed Rule Change to Amend MSRB Form G-45 to Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established to Implement the ABLE Act

Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, to Amend the Annual Municipal Advisor Professional Fee

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

Proposed Rule Change to Assess an Underwriting Fee on Dealers that are Underwriters of Primary Offerings of 529 Plans

Proposed Rule Change to Amend Rule G-21(e), on Municipal Fund Security Product Advertisements

Proposed Rule Change to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard

Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, to Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements

Proposed Rule Change to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15 (SR-MSRB-2017-01 WITHDRAWN)

Proposed Rule Change to Extend the MSRB’s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules

Proposed Rule Change to Establish Fees Related to the MSRB Academic Historical Transaction Data Product

Proposed Rule Change to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum

Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price

Proposed Rule Change to Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities

Proposed Rule Change to Establish the MSRB Academic Historical Transaction Data Product

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

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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