Regulatory Documents

Select regulatory documents by category:

Notice 2017-24 - Approval Notice

Publication date: 12/08/2017

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

Notice 2017-23 - Informational Notice

Publication date: 12/04/2017

MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2017-21 - Informational Notice

Publication date: 11/08/2017

MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2017-20 - Informational Notice

Publication date: 09/29/2017

MSRB Amends Professional Fee for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2017-18 - Market Advisory

Publication date: 09/13/2017

Notice Removed

Notice 2017-16 - Approval Notice

Publication date: 08/21/2017

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-21

Notice 2017-15 - Approval Notice

Publication date: 07/31/2017

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-26

Notice 2017-14 - Market Advisory

Publication date: 07/27/2017

Notice Removed

Notice 2017-13 - Informational Notice

Publication date: 07/13/2017

MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-42

Notice 2017-12 - Informational Notice

Publication date: 07/12/2017

MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price

Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-15, Rule G-30

Notice 2017-10 - Approval Notice

Publication date: 05/17/2017

SEC Approves Continuing Education Requirements for Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

Notice 2017-09 - Informational Notice

Publication date: 05/08/2017

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2017-08 - Informational Notice

Publication date: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

Notice 2017-07 - Informational Notice

Publication date: 03/28/2017

MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-12, Rule G-15

Notice 2017-06 - Informational Notice

Publication date: 03/07/2017

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 2017-03 - Informational Notice

Publication date: 01/18/2017

SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10, Rule G-32

Notice 2017-02 - Informational Notice

Publication date: 01/09/2017

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-29 - Informational Notice

Publication date: 12/01/2016

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-48, Rule D-15

Notice 2016-28 - Approval Notice

Publication date: 11/29/2016

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Notice 2016-27 - Informational Notice

Publication date: 11/22/2016

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-47

Notice 2016-26 - Informational Notice

Publication date: 11/17/2016

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-22 - Approval Notice

Publication date: 09/14/2016

SEC Approves MSRB Academic Historical Transaction Data Product

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2016-21 - Approval Notice

Publication date: 08/19/2016

SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Notice 2016-20 - Informational Notice

Publication date: 08/12/2016

MSRB Delays Reporting of Information by Underwriters of ABLE Programs and Provides Guidance Relating to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities, including ABLE Programs

Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-42, Rule G-44, Rule G-45

Notice 2016-19 - Informational Notice

Publication date: 08/09/2016

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves Amendments to MSRB Form G-45 to Collect Additional Fee Data About ABLE Programs and 529 College Savings Plans

MSRB Extends Comment Deadline on Request for Comment on Providing Compliance Support

MSRB to Streamline Series 52 Exam Ahead of Release of FINRA Securities Industry Essentials Exam

MSRB Amends Professional Fee for Municipal Advisors

Notice Removed

SEC Approves Amendments to the MSRB’s Rule on Municipal Fund Security Product Advertisements

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

Notice Removed

MSRB Provides Guidance on Duties of Non-Solicitor Municipal Advisors in Conduit Financing Scenarios

MSRB Provides Implementation Guidance on Confirmation Disclosure and Prevailing Market Price

SEC Approves Continuing Education Requirements for Municipal Advisors

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

Application of MSRB Rules to Solicitor Municipal Advisors

MSRB Announces Date of Transition to a Two-Day Settlement Cycle for Municipal Securities Transactions

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

SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules

MSRB Seeks Applicants for Board of Directors

Interpretive Notice on the Application of MSRB Rules to Transactions in Managed Accounts

New Disclosure Requirements Under MSRB Rule G-15 and Prevailing Market Price Guidance Pursuant to Rule G-30 Effective May 14, 2018

Interpretive Notice Regarding Rule G-47, on Time of Trade Disclosure

MSRB Announces the Effective Date of the Academic Historical Transaction Data Product

SEC Approves MSRB Academic Historical Transaction Data Product

SEC Approves Amendments to MSRB Rule G-12 on Close-Out Procedures

MSRB Delays Reporting of Information by Underwriters of ABLE Programs and Provides Guidance Relating to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities, including ABLE Programs

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

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