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Notice 2018-31 - Approval Notice
Publication date:
SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs
Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

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Notice 2018-28 - Regulatory Reminder
Publication date:
Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-27 - Informational Notice
Publication date:
MSRB Facilitates Requests for Interpretive Guidance
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-23 - Informational Notice
Publication date:
MSRB Expands Advisory Groups and Seeks Volunteers
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-17 - Regulatory Reminder
Publication date:
Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

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Notice 2018-16 - Approval Notice
Publication date:
MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

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Notice 2018-13 - Informational Notice
Publication date:
MSRB Revises Content Outlines for Professional Qualification Examinations
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

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Notice 2018-11 - Informational Notice
Publication date:
MSRB Modifies Professional Qualifications Program
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

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Notice 2018-08 - Approval Notice
Publication date:
SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-21, Rule G-40

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Notice 2018-07 - Regulatory Reminder
Publication date:
Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-19, Rule G-30, Rule G-47

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Notice 2018-06 - Informational Notice
Publication date:
MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

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Notice 2018-05 -
Publication date:
MSRB Provides New and Updated FAQs on Confirmation Disclosure and Prevailing Market Price
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

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Notice 2018-04 - Informational Notice
Publication date:
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

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Notice 2018-02 - Informational Notice
Publication date:
MSRB Seeks Applicants for Board of Directors
Information for:

Bank Dealers, Dealers, Municipal Advisors

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Notice 2018-01 - Regulatory Reminder
Publication date:
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-18, Rule G-43

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