Regulatory Documents

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SEC Filing SR-MSRB-2018-10

Publication date: 12/20/2018

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

Federal Register Notice of Immediately Effective Rule Change (December 31, 2018 )

SEC Approval Order (December 21, 2018 )

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Notice 2018-33 - Informational Notice

Publication date: 12/20/2018

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-32 - Informational Notice

Publication date: 12/19/2018

MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

Information for:

Municipal Advisors

Rule Number:

Rule G-40

Notice 2018-31 - Approval Notice

Publication date: 12/13/2018

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

SEC Filing SR-MSRB-2018-09

Publication date: 12/07/2018

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

Federal Register Notice of Immediately Effective Rule Change (December 21, 2018 )

SEC Approval Order (December 17, 2018 )

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Notice 2018-30 - Approval Notice

Publication date: 11/28/2018

SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-28 - Regulatory Reminder

Publication date: 11/08/2018

Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website

Information for:

Bank Dealers, Dealers, Municipal Advisors

SEC Filing SR-MSRB-2018-08

Publication date: 10/15/2018

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

Federal Register Notice of Approval (December 18, 2018 )

SEC Approval Order (December 12, 2018 )

Federal Register Notice of Filing (November 02, 2018 )

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Notice 2018-27 - Informational Notice

Publication date: 09/25/2018

MSRB Facilitates Requests for Interpretive Guidance

Information for:

Bank Dealers, Dealers, Municipal Advisors

SEC Filing SR-MSRB-2018-07

Publication date: 09/19/2018

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

Federal Register Notice of Approval (November 27, 2018 )

SEC Approval Order (November 20, 2018 )

MSRB Response to Comments (November 16, 2018 )

Federal Register Notice of Filing (October 09, 2018 )

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Notice 2018-26 - Informational Notice

Publication date: 09/19/2018

MSRB Proposes a Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-24 - Informational Notice

Publication date: 09/17/2018

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

Information for:

Municipal Advisors

Rule Number:

Rule G-40

Notice 2018-23 - Informational Notice

Publication date: 09/11/2018

MSRB Expands Advisory Groups and Seeks Volunteers

Information for:

Bank Dealers, Dealers, Municipal Advisors

Notice 2018-18 - Regulatory Reminder

Publication date: 08/14/2018

Compliance Advisory for Municipal Advisors

Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44

Notice 2018-17 - Regulatory Reminder

Publication date: 08/14/2018

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

SEC Filing SR-MSRB-2018-06

Publication date: 07/23/2018

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 (August 01, 2018 )

SEC Approval Order (July 26, 2018 )

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Notice 2018-16 - Approval Notice

Publication date: 07/23/2018

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

Information for:

Bank Dealers, Dealers

Rule Number:

Rule A-13

SEC Filing SR-MSRB-2018-05

Publication date: 06/25/2018

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

Federal Register Notice of Immediately Effective Rule Change (July 06, 2018 )

SEC Approval Order (June 29, 2018 )

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Notice 2018-13 - Informational Notice

Publication date: 06/25/2018

MSRB Revises Content Outlines for Professional Qualification Examinations

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

Notice 2018-11 - Informational Notice

Publication date: 06/11/2018

MSRB Modifies Professional Qualifications Program

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3

SEC Filing SR-MSRB-2018-04

Publication date: 06/08/2018

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

Federal Register Notice of Immediately Effective Rule Change (June 26, 2018 )

SEC Approval Order (June 20, 2018 )

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Notice 2018-08 - Approval Notice

Publication date: 05/07/2018

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

SEC Filing SR-MSRB-2018-03

Publication date: 05/01/2018

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Federal Register Notice of Immediately Effective Rule Change (May 16, 2018 )

SEC Approval Order (May 10, 2018 )

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Notice 2018-07 - Regulatory Reminder

Publication date: 04/12/2018

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

Notice 2018-06 - Informational Notice

Publication date: 04/04/2018

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination

MSRB Files Content Outline for the Municipal Advisor Principal Qualification Examination (Series 54)

MSRB Provides Compliance Resource on Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40

SEC Approves Amendments to MSRB Form G-45 to Modify and Clarify Certain Data Elements Submitted about 529 Savings Plans and ABLE Programs

Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)

SEC Approves Amendments to MSRB Rule G-3 to Establish a Municipal Advisor Principal Qualification Examination

Reminder of Requirement to Submit Word-Searchable PDF Documents to the Electronic Municipal Market Access (EMMA®) Website

Proposed Rule Change Concerning Certain Data Elements on Form G-45 under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities

MSRB Facilitates Requests for Interpretive Guidance

Proposed Rule Change to Amend MSRB Rule G-3, on Professional Qualification Requirements, to Require Municipal Advisor Principals to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination

MSRB Proposes a Municipal Advisor Principal Qualification Examination

MSRB Answers FAQs Regarding Use of Municipal Advisory Client Lists and Case Studies under MSRB Rule G-40

MSRB Expands Advisory Groups and Seeks Volunteers

Compliance Advisory for Municipal Advisors

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

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

MSRB Temporarily Reduces Underwriting, Transaction and Technology Fees Assessed on Dealers

Revisions to the Content Outline and Selection Specifications for the Series 52 Examination and Revisions to the Content Outlines for the Series 50, Series 51 and Series 53 Examinations

MSRB Revises Content Outlines for Professional Qualification Examinations

MSRB Modifies Professional Qualifications Program

Proposed Rule Change to Amend MSRB Rule G-3 to Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements with FINRA Rules

SEC Approves Advertising Rule Changes for Dealers and Municipal Advisors

Proposed Rule Change to Revise the Language of Certain Administrative Rules to Continue to Help Ensure that They Reflect MSRB Practices and Improve Consistency Among the Rules

Notice Regarding Transactions in the Municipal Securities of Distressed Municipalities

MSRB Provides Investor Education Resources on New Mark-up Disclosure Requirements

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

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