See Rules that have rulemaking activity or compliance resources in the last two years:

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Rule A-1
Last Updated: No amendment history
Rules of the Board
Rule for:

Status:
Rule A-2
Last Updated: No amendment history
Powers of the Board
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Rule A-3
Last Updated: No amendment history
Board Membership: Composition, Elections, Removal, Compensation
Rule for:

Dealers, Municipal Advisors, Bank Dealers

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Rule A-4
Last Updated: No amendment history
Meetings of the Board
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Rule A-5
Last Updated: No amendment history
Officers and Employees of the Board
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Rule A-6
Last Updated: No amendment history
Committees of the Board
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Rule A-7
Last Updated: No amendment history
Assessments
Rule for:

Dealers, Municipal Advisors, Bank Dealers

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Rule A-8
Last Updated: No amendment history
Rulemaking Procedures
Rule for:

Dealers, Municipal Advisors

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Rule A-9
Last Updated: No amendment history
Fiscal Year
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Rule A-10
Last Updated: No amendment history
Independent Audit
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Rule A-11
Last Updated: 08/09/2022
Assessments for Municipal Advisor Professionals
Rule for:

Municipal Advisors

Status:
New SEC Filing
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
View SEC Filing
Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers

Status:
New SEC Filing
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
View SEC Filing
Rule A-13
Last Updated: 08/09/2022
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
New SEC Filing
Proposed Rule Change to Amend Certain Rates of Assessment for Rate Card Fees under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
View SEC Filing
Rule A-14
Last Updated: No amendment history
Rule A-14-Reserved
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Rule A-15
Last Updated: No amendment history
Rule A-15-Reserved
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Rule A-16
Last Updated: No amendment history
Examination Fees
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Dealers, Municipal Advisors, Bank Dealers

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Rule A-17
Last Updated: No amendment history
Confidentiality of Examination Reports
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Rule A-18
Last Updated: No amendment history
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status: