Regulatory Documents

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Compliance Resource

Publication date: 12/01/2021

FAQs on Municipal Advisor Professional Qualification and Examination Requirements

Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3

SEC Filing SR-MSRB-2021-06

Publication date: 10/26/2021

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022 Pursuant to MSRB Rule G-27, on Supervision

Federal Register Notice of Immediately Effective Rule Change (November 02, 2021 )

SEC Approval Order (October 27, 2021 )

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SEC Filing SR-MSRB-2021-05

Publication date: 09/02/2021

Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements

Federal Register Notice of Immediately Effective Rule Change (September 16, 2021 )

SEC Approval Order (September 10, 2021 )

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SEC Filing SR-MSRB-2021-04

Publication date: 08/02/2021

Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations

Federal Register Notice of Approval (October 12, 2021 )

SEC Approval Order (October 05, 2021 )

Amendment No. 1 (September 28, 2021 )

MSRB Response to Comments (September 28, 2021 )

SEC Request for Extension of Time (September 28, 2021 )

Federal Register Notice of Filing (August 20, 2021 )

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Compliance Resource

Publication date: 08/02/2021

Summary Table of New Fields for Amended Form G-32

Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-32

Compliance Resource

Publication date: 06/30/2021

Frequently Asked Questions About Form G-32

Information for:

Dealers, Investors

Rule Number:

Rule G-32

SEC Filing SR-MSRB-2021-03

Publication date: 05/19/2021

Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions

Federal Register Notice of Immediately Effective Rule Change (May 26, 2021 )

SEC Approval Order (May 20, 2021 )

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SEC Filing SR-MSRB-2021-02

Publication date: 03/01/2021

Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13

Federal Register Notice of Immediately Effective Rule Change (March 09, 2021 )

SEC Approval Order (March 03, 2021 )

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SEC Filing SR-MSRB-2021-01

Publication date: 02/17/2021

Proposed Rule Change to Extend the Compliance Date of Amended Form G-32

Federal Register Notice of Immediately Effective Rule Change (February 26, 2021 )

SEC Approval Order (February 22, 2021 )

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Compliance Resource

Publication date: 01/07/2021

Understanding the Municipal Advisor Principal Qualification Examination

Information for:

Municipal Advisors

Rule Number:

Rule G-3

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

FAQs on Municipal Advisor Professional Qualification and Examination Requirements

Proposed Rule Change to Further Extend the Regulatory Relief and Permit Dealers to Conduct Office Inspections Remotely until June 30, 2022 Pursuant to MSRB Rule G-27, on Supervision

Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements

Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals, to Amend Certain Dealer Obligations

Summary Table of New Fields for Amended Form G-32

Frequently Asked Questions About Form G-32

Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions

Proposed Rule Change to Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees under MSRB Rule A-13

Proposed Rule Change to Extend the Compliance Date of Amended Form G-32

Understanding the Municipal Advisor Principal Qualification Examination

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