Regulatory Documents

Select regulatory documents by category:

Notice 2015-07 - Informational Notice

Publication date: 05/26/2015

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14

Notice 2015-06 - Informational Notice

Publication date: 04/22/2015

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2015-05 - Informational Notice

Publication date: 03/17/2015

MSRB Amends Fees Charged for Qualification Examinations

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-16

Notice 2015-04 - Informational Notice

Publication date: 03/02/2015

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-1, Rule G-2, Rule G-3, Rule D-13

Notice 2015-03 - Informational Notice

Publication date: 01/29/2015

Bank Loan Disclosure Market Advisory

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2015-02 - Informational Notice

Publication date: 01/06/2015

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015

Notice 2015-01 - Informational Notice

Publication date: 01/05/2015

MSRB Seeks Applicants for Board of Directors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2014-22 - Informational Notice

Publication date: 12/08/2014

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-48, Rule D-15

Notice 2014-21 - Informational Notice

Publication date: 11/25/2014

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

Notice 2014-19 - Informational Notice

Publication date: 10/24/2014

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

Information for:

Municipal Advisors

Rule Number:

Rule G-8, Rule G-9

Notice 2014-17 - Informational Notice

Publication date: 10/17/2014

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2014-13 - Informational Notice

Publication date: 08/04/2014

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3, Rule G-7, Rule G-27

Notice 2014-10 - Informational Notice

Publication date: 05/12/2014

Guidance on the MSRB Municipal Advisor Registration Process

Information for:

Municipal Advisors

Rule Number:

Rule A-12

Notice 2014-11 - Informational Notice

Publication date: 05/12/2014

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-30, Rule G-48

Notice 2014-09 - Informational Notice

Publication date: 04/17/2014

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

Information for:

Municipal Advisors

Rule Number:

Rule A-11

Notice 2014-07 - Informational Notice

Publication date: 03/12/2014

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-19

Notice 2014-06 - Informational Notice

Publication date: 02/28/2014

Fee Changes for Data Subscription Products and Services

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2014-05 - Informational Notice

Publication date: 02/27/2014

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-14, Rule A-12

Notice 2014-03 - Informational Notice

Publication date: 02/24/2014

MSRB to Collect Additional Data About 529 College Savings Plans

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule G-8, Rule G-9

Notice 2013-21 - Informational Notice

Publication date: 12/10/2013

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11

Notice 2013-20 - Informational Notice

Publication date: 09/27/2013

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-8, Rule G-11, Rule G-32

Notice 2013-18 - Informational Notice

Publication date: 08/12/2013

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Information for:

Bank Dealers, Dealers

Notice 2013-17 - Informational Notice

Publication date: 08/08/2013

Notice Regarding MSRB Policy on Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2013-13 - Informational Notice

Publication date: 06/12/2013

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-17, Rule G-18, Rule G-19, Rule G-30

Notice 2013-12 - Informational Notice

Publication date: 05/29/2013

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-39

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System

MSRB Files Content Outline for Municipal Advisor Representative Qualification Examination (Series 50)

MSRB Amends Fees Charged for Qualification Examinations

MSRB to Amend Rules to Create Professional Qualification Standards for Municipal Advisors

Bank Loan Disclosure Market Advisory

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1 Effective January 9, 2015

MSRB Seeks Applicants for Board of Directors

SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals

Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1

SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9

SEC Approves Amendments to MSRB Rule G-3 regarding Continuing Education

SEC Approves Amendments to MSRB Rule G-3, on Professional Qualification Requirements

Guidance on the MSRB Municipal Advisor Registration Process

MSRB to Consolidate Dealers' Fair-Pricing Obligations into MSRB Rule G-30

MSRB to Implement New MSRB Rule A-11 Establishing Fees for Municipal Advisor Professionals

SEC Approves MSRB Rule G-47 on Time-of-Trade Disclosure Obligations, MSRB Rules D-15 and G-48 on Sophisticated Municipal Market Professionals, and Revisions to MSRB Rule G-19 on Suitability of Recommendations and Transactions

Fee Changes for Data Subscription Products and Services

SEC Approves New Consolidated Registration Rule and Registration Form for Dealers and Municipal Advisors

MSRB to Collect Additional Data About 529 College Savings Plans

MSRB to Implement Protections for Investors Against Unexpected Changes in Bond Authorizing Documents

SEC Approves Amendments to MSRB Rules G-11, G-8 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods

MSRB Market Transparency Advisory – Suggested Practices in Submitting of Financial Disclosures to EMMA

Notice Regarding MSRB Policy on Interpretive Guidance

Notice Regarding Transactions in Direct-Pay Municipal Bonds Subject to Subsidy Reductions Due to the Federal Sequester

SEC Approves Amendments to MSRB Rule G-39, on Telemarketing

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