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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-1 Rules of the Board
Rule A-2 Powers of the Board
Rule A-3 Board Membership: Composition, Elections, Removal, Compensation Dealers, Municipal Advisors, Bank Dealers
Rule A-4 Meetings of the Board
Rule A-5 Officers and Employees of the Board
Rule A-6 Committees of the Board
Rule A-7 Assessments Dealers, Municipal Advisors, Bank Dealers
Rule A-8 Rulemaking Procedures Dealers, Municipal Advisors
Rule A-9 Fiscal Year
Rule A-10 Independent Audit
Rule A-11 Assessments for Municipal Advisor Professionals
Municipal Advisors
Rule A-12 Registration
Dealers
Rule A-13 Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Dealers, Bank Dealers, Municipal Fund Securities
Rule A-14 Rule A-14-Reserved
Rule A-15 Rule A-15-Reserved
Rule A-16 Examination Fees Dealers, Municipal Advisors, Bank Dealers
Rule A-17 Confidentiality of Examination Reports
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
Rule D-1 General
Rule D-2 "Act"
Rule D-3 "Commission"
Rule D-4 "Board"
Rule D-5 "Member"
Rule D-6 "Whole Board"
Rule D-7 "Proposed Rules and Rules of the Board"
Rule A-1
Last Updated: No amendment history
Rules of the Board
Status:
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Rule A-2
Last Updated: No amendment history
Powers of the Board
Status:
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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

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

Dealers, Municipal Advisors, Bank Dealers

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

Dealers, Municipal Advisors

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

Municipal Advisors

Status:
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SEC Filing
Proposed Rule Change to Clarify the Calculation of the Annual Fee on Municipal Advisors under MSRB Rule A-11
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SEC Filing
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN) 
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Notice
MSRB Makes Technical Amendment to Rule A-11 on Municipal Advisor Fees
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Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
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Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
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Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers

Status:
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Request for Comment
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
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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:
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SEC Filing
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN) 
View SEC Filing
Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
View Notice
Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
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Rule A-14
Last Updated: No amendment history
Rule A-14-Reserved
Status:
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Rule A-15
Last Updated: No amendment history
Rule A-15-Reserved
Status:
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Rule A-16
Last Updated: No amendment history
Examination Fees
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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Rule A-17
Last Updated: No amendment history
Confidentiality of Examination Reports
Status:
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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:
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Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
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Rule D-1
Last Updated: No amendment history
General
Status:
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Rule D-2
Last Updated: No amendment history
"Act"
Status:
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Rule D-3
Last Updated: No amendment history
"Commission"
Status:
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Rule D-4
Last Updated: No amendment history
"Board"
Status:
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Rule D-5
Last Updated: No amendment history
"Member"
Status:
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Rule D-6
Last Updated: No amendment history
"Whole Board"
Status:
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Rule D-7
Last Updated: No amendment history
"Proposed Rules and Rules of the Board"
Status:
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