Regulatory Documents

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Compliance Resource

Publication date: 05/04/2023

Common Compliance Questions & News Library

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-12, Rule G-14, Rule G-17, Rule G-18, Rule G-21, Rule G-30, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule A-12

Compliance Resource

Publication date: 03/02/2023

Compliance Tip of the Week Archive

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-7, Rule G-8, Rule G-9, Rule G-10, Rule G-11, Rule G-12, Rule G-13, Rule G-14, Rule G-15, Rule G-17, Rule G-18, Rule G-19, Rule G-20, Rule G-21, Rule G-23, Rule G-27, Rule G-32, Rule G-34, Rule G-37, Rule G-40, Rule G-42, Rule G-44, Rule G-45, Rule G-47, Rule G-48, Rule A-11, Rule A-12, Rule A-13, Rule D-10

Compliance Resource

Publication date: 12/30/2022

Preparing to Submit MSRB Form A-12

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

Compliance Resource

Publication date: 11/07/2022

Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing

Information for:

Dealers

Rule Number:

Rule G-17, Rule G-27

Compliance Resource

Publication date: 07/18/2022

Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-14, Rule G-15, Rule G-16, Rule G-18, Rule G-20, Rule G-23, Rule G-27, Rule G-30, Rule G-32, Rule A-11, Rule A-12, Rule A-13

Compliance Resource

Publication date: 05/12/2022

G-32 Form Updates

Information for:

Dealers, Investors

Rule Number:

Rule G-32

Compliance Resource

Publication date: 01/01/2022

Annual Affirmation Guide

Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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

Compliance Resource

Publication date: 01/30/2020

LIBOR Transition Information

Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

Compliance Resource

Publication date: 10/10/2019

FAQs Regarding MSRB Rule G-12 on Close-Outs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-12

Compliance Resource

Publication date: 10/01/2019

Guide to Printing a Certificate of Current MSRB Registraion

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Compliance Resource

Publication date: 09/30/2019

RTRS Users Manual

Information for:

Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 02/07/2019

FAQs on Price Variance Alerts on Reported Trades

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 02/01/2019

Resources Related to 2019 Municipal Securities Examination Priorities

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

Compliance Resource

Publication date: 01/06/2019

Understanding MSRB Rules Regarding Gifts, Gratuities and Non-Cash Compensation

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-20

Compliance Resource

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, Rule A-12

Compliance Resource

Publication date: 08/01/2018

Supervisory Responsibilities of Qualified Principals

Information for:

Dealers

Rule Number:

Rule G-3, Rule G-27

Compliance Resource

Publication date: 07/26/2018

Resource on Disclosing Mark-ups and Determining Prevailing Market Price

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

Compliance Resource

Publication date: 09/01/2017

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10

Compliance Resource

Publication date: 06/01/2017

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

Compliance Resource

Publication date: 12/07/2016

MSRB Form G-32

Information for:

Dealers, Investors

Rule Number:

Rule G-32

Compliance Resource

Publication date: 08/09/2016

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

Information for:

Dealers

Rule Number:

Rule G-14

Compliance Resource

Publication date: 08/04/2016

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-37

Compliance Resource

Publication date: 03/02/2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

Common Compliance Questions & News Library

Compliance Tip of the Week Archive

Preparing to Submit MSRB Form A-12

Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing

Frequently Asked Questions Related to COVID-19 Pandemic Regulatory Relief

G-32 Form Updates

Annual Affirmation Guide

Summary Table of New Fields for Amended Form G-32

Frequently Asked Questions About Form G-32

LIBOR Transition Information

FAQs Regarding MSRB Rule G-12 on Close-Outs

Guide to Printing a Certificate of Current MSRB Registraion

RTRS Users Manual

FAQs on Price Variance Alerts on Reported Trades

Resources Related to 2019 Municipal Securities Examination Priorities

Understanding MSRB Rules Regarding Gifts, Gratuities and Non-Cash Compensation

Compliance Advisory for Municipal Advisors

Supervisory Responsibilities of Qualified Principals

Resource on Disclosing Mark-ups and Determining Prevailing Market Price

FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection

MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide

MSRB Form G-32

MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities

MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016

MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting

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