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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-3 Board Membership: Composition, Elections, Removal, Compensation Dealers, Municipal Advisors, Bank Dealers
Rule A-7 Assessments Dealers, Municipal Advisors, Bank Dealers
Rule A-8 Rulemaking Procedures Dealers, Municipal Advisors
Rule A-12 Registration
Dealers
Rule A-13 Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Dealers, Bank Dealers, Municipal Fund Securities
Rule A-16 Examination Fees Dealers, Municipal Advisors, Bank Dealers
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
Rule A-3
Last Updated: No amendment history
Board Membership: Composition, Elections, Removal, Compensation
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule A-7
Last Updated: No amendment history
Assessments
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule A-8
Last Updated: No amendment history
Rulemaking Procedures
Rule for:

Dealers, Municipal Advisors

Status:
Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers

Status:
Request for Comment
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
View Notice
Rule A-13
Last Updated: 08/09/2022
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
SEC Filing
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN) 
View SEC Filing
Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
View Notice
Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
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Rule A-16
Last Updated: No amendment history
Examination Fees
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule A-18
Last Updated: No amendment history
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
View Notice