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

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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:
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

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

Dealers, Municipal Advisors

Status:
Rule A-9
Last Updated: No amendment history
Fiscal Year
Rule for:

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Rule A-10
Last Updated: No amendment history
Independent Audit
Rule for:

Status:
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 MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes
View SEC Filing
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
/2022-12/2022-14.pdf
New Notice
MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes
View Notice
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
Rule for:

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Rule A-16
Last Updated: No amendment history
Examination Fees
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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:
/2023-01/2023-01.pdf
New Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
View Notice
Rule D-1
Last Updated: No amendment history
General
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Rule D-2
Last Updated: No amendment history
"Act"
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Rule D-3
Last Updated: No amendment history
"Commission"
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Rule D-4
Last Updated: No amendment history
"Board"
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Rule D-5
Last Updated: No amendment history
"Member"
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Rule D-6
Last Updated: No amendment history
"Whole Board"
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Rule D-7
Last Updated: No amendment history
"Proposed Rules and Rules of the Board"
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Rule D-8
Last Updated: No amendment history
"Bank Dealer"
Rule for:

Dealers, Bank Dealers

Status:
Rule D-9
Last Updated: No amendment history
"Customer"
Rule for:

Dealers, Bank Dealers

Status: