Regulatory Documents

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Notice 2019-13 - Request for Comment

Publication date: 05/20/2019 | Comment due: 08/19/2019

Request for Comment on MSRB Rule G-23 on Activities of Dealers Acting as Financial Advisors

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-23

All Comments to Notice 2019-13

1. Acacia Financial Group, Inc.: Letter from Kim M. Whelan, Co-President, and Noreen P. White, Co-President, dated August 19, 2019

2. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated August 23, 2019

3. Columbia Capital Management, LLC: Letter from Jeff White, Managing Member, dated August 19, 2019

4. Crews & Associates, Inc.: Letter from Don Winton, Chief Operating Officer, dated August 23, 2019

5. Ehlers: Letter from Phil Cosson, Ehlers Board Chairman

6. First Kentucky Securities Corp.: Email from Stan Kramer dated August 13, 2019

7. Government Finance Officers Association: Letter from Emily Swenson Brock, Director, Federal Liaison Center, dated August 19, 2019

8. KPM Financial, LLC: Letter from Jay Saunders, Director

9. Kutak Rock LLP: Letter from Joshua P. Meyer dated August 16, 2019

10. Lewis Young Robertson & Burningham, Inc.: Letter from Laura D. Lewis, Principal, dated August 7, 2019

11. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated August 19, 2019

12. Phoenix Advisors, LLC: Letter from David B. Thompson, CEO, dated August 14, 2019

13. Richard Li: Email dated January 29, 2020

14. Robert W. Doty: Letter dated August 19, 2019

15.Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, and Bernard V. Canepa, Vice-President and Assistant General Counsel, dated August 19, 2019

16. Speer Financial, Inc.: Letter from Daniel Forbes, President, dated August 19, 2019

17. State of Florida, Division of Bond Finance: Letter from J. Ben Watkins III, Director, dated September 3, 2019

18. Zions Public Finance, Inc. and Zions Bank Public Finance: Letter from James Livingston, Executive Vice President, dated August 14, 2019

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Compliance Resource

Publication date: 05/01/2019

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

Compliance Resource

Publication date: 05/01/2019

FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

SEC Filing SR-MSRB-2019-09

Publication date: 04/19/2019

Proposed Rule Change to Eliminate MSRB Rule G-29, on Availability of Board Rules

Federal Register Notice of Immediately Effective Rule Change (May 06, 2019 )

SEC Approval Order (April 30, 2019 )

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Notice 2019-12 - Informational Notice

Publication date: 04/19/2019

MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-29

SEC Filing SR-MSRB-2019-08

Publication date: 04/10/2019

Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant

Federal Register Notice of Immediately Effective Rule Change (April 26, 2019 )

SEC Approval Order (April 22, 2019 )

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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

SEC Filing SR-MSRB-2019-07

Publication date: 04/02/2019

Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings

Federal Register Notice of Approval (July 03, 2019 )

SEC Approval Order (June 27, 2019 )

MSRB Response to Comments (June 06, 2019 )

Amendment No. 1 (June 06, 2019 )

SEC Request for Extension of Time (May 14, 2019 )

Federal Register Notice of Filing (April 12, 2019 )

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Notice 2019-10 - Informational Notice

Publication date: 03/21/2019

MSRB Proposes Amendments to Rules Related to Primary Offering Practices

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-32

SEC Filing SR-MSRB-2019-06

Publication date: 03/14/2019

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 (March 28, 2019 )

SEC Approval Order (March 22, 2019 )

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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 2019-08 - Request for Comment

Publication date: 02/27/2019 | Comment due: 05/28/2019

Request for Comment on MSRB Rule G-34 Obligation of Municipal Advisors to Apply for CUSIP Numbers When Advising on Competitive Sales

Information for:

Municipal Advisors

Rule Number:

Rule G-34

All Comments to Notice 2019-08

1. Bernardi Securities, Inc.: Letter from Lou Lamberti, Sr. Vice President, dated May 24, 2019

2. Bloomberg L.P.: Letter from Peter Warms, Senior Manager, Entity and Identifier Services, dated May 28, 2019

3. Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated May 28, 2019

4. Dixworks LLC: Letter from Dennis Dix, Jr., dated March 4, 2019

5. Lamont Financial Services Corporation: Letter from Robert A. Lamb, President, dated May 7, 2019

6. National Association of Municipal Advisors: Letter from Susan Gaffney, Executive Director, dated May 28, 2019

7. Securities Industry and Financial Markets Association: Letter from Leslie M. Norwood, Managing Director and Associate General Counsel, dated May 28, 2019

8. Municipal Solutions, Inc.: Letter from Jeffrey R. Smith, President, dated May 28, 2019

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SEC Filing SR-MSRB-2019-05

Publication date: 02/26/2019

Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records

Federal Register Notice of Immediately Effective Rule Change (March 06, 2019 )

SEC Approval Order (February 28, 2019 )

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SEC Filing SR-MSRB-2019-04

Publication date: 02/26/2019

Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules

Federal Register Notice of Immediately Effective Rule Change (March 06, 2019 )

SEC Approval Order (February 28, 2019 )

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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

SEC Filing SR-MSRB-2019-03

Publication date: 02/25/2019

Proposed Rule Change to the MSRB's Short-Term Obligation Rate Transparency (SHORT) System Information Facility

Federal Register Notice of Immediately Effective Rule Change (March 05, 2019 )

SEC Approval Order (February 27, 2019 )

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SEC Filing SR-MSRB-2019-02

Publication date: 02/11/2019

Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination

Federal Register Notice of Immediately Effective Rule Change (February 21, 2019 )

SEC Approval Order (February 14, 2019 )

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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 2019-05 -

Publication date: 02/07/2019

MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18

Compliance Resource

Publication date: 02/07/2019

FAQs on Price Variance Alerts on Reported Trades

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

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

Compliance Resource

Publication date: 02/01/2019

Resources Related to 2019 Municipal Securities Examination Priorities

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

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 )

Read More Show Less

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

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Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Request for Comment on MSRB Rule G-23 on Activities of Dealers Acting as Financial Advisors

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)

FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)

Proposed Rule Change to Eliminate MSRB Rule G-29, on Availability of Board Rules

MSRB Proposes to Eliminate MSRB Rule G-29, on Availability of Board Rules

Proposed Rule Change to Amend Certain MSRB Rules to Update Cross-References to the Rules of Other Self-Regulatory Organizations, to Amend Rules with Grammatical or Typographical Errors and to Delete Certain Sections of MSRB Rules that are Outdated or No Longer Relevant

MSRB Updates Rulebook with Nonsubstantive, Technical Amendments

Proposed Rule Change to Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection with Primary Offerings

MSRB Proposes Amendments to Rules Related to Primary Offering Practices

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

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

Request for Comment on MSRB Rule G-34 Obligation of Municipal Advisors to Apply for CUSIP Numbers When Advising on Competitive Sales

Proposed Rule Change to Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records

Proposed Rule Change Consisting of Interpretive Guidance about Frequently Asked Questions Regarding the Use of Social Media under the MSRB's Advertising Rules

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

Proposed Rule Change to the MSRB's Short-Term Obligation Rate Transparency (SHORT) System Information Facility

Proposed Rule Change to Amend Rule A-16, on Examination Fees, to Establish a Test Development Fee for the Series 54 Examination

MSRB Amends Rule A-16 on Examination Fees

MSRB Amends Implementation Guidance on MSRB Rule G-18, on Best Execution

FAQs on Price Variance Alerts on Reported Trades

MSRB Identifies Priority Rules for Retrospective Review in 2019

Resources Related to 2019 Municipal Securities Examination Priorities

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

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

MSRB Solicits Applicants for Board of Directors

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