Regulatory Documents

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Compliance Resource

Publication date: 05/12/2022

G-32 Form Updates

Information for:

Dealers, Investors

Rule Number:

Rule G-32

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: 05/01/2019

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

Compliance Resource

Publication date: 05/01/2019

FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-40

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: 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: 06/20/2018

FAQs Regarding MSRB Rule G-42 and Making Recommendations

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

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: 05/04/2017

Application of MSRB Rules to Solicitor Municipal Advisors

Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-42

Compliance Resource

Publication date: 12/07/2016

MSRB Form G-32

Information for:

Dealers, Investors

Rule Number:

Rule G-32

Compliance Resource

Publication date: 08/04/2016

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: 04/01/2016

Municipal Advisors: Understanding Standards of Conduct

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42

Compliance Resource

Publication date:

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

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

Compliance Resource

Publication date:

Summary of Ban on Business Provisions Under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Best Execution: The Investor's Perspective

Information for:

Dealers, Investors

Rule Number:

Rule G-18

Compliance Resource

Publication date:

Information for Municipal Securities Investors

Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-10

Compliance Resource

Publication date:

Exemptive Relief under MSRB Rule G-37

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Compliance Resource

Publication date:

Information for Municipal Advisory Clients

Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-10

Compliance Resource

Publication date:

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-37

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

G-32 Form Updates

Summary Table of New Fields for Amended Form G-32

Frequently Asked Questions About Form G-32

LIBOR Transition Information

Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40 (effective Aug. 23, 2019)

FAQs on Use of Municipal Advisory Client Lists and Case Studies (effective Aug. 23, 2019)

Resources Related to 2019 Municipal Securities Examination Priorities

Compliance Advisory for Municipal Advisors

FAQs Regarding MSRB Rule G-42 and Making Recommendations

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

Application of MSRB Rules to Solicitor Municipal Advisors

MSRB Form G-32

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

Municipal Advisors: Understanding Standards of Conduct

Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

Summary of Ban on Business Provisions Under MSRB Rule G-37

Best Execution: The Investor's Perspective

Information for Municipal Securities Investors

Exemptive Relief under MSRB Rule G-37

Information for Municipal Advisory Clients

Questions and Answers Concerning Political Contributions and Prohibitions on Municipal Securities Business: Rule G-37 (originally published on May 24, 1994)

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