Municipal Securities Rulemaking Board (MSRB) and Municipal Securities Materials

Overview

The Municipal Securities Rulemaking Board is a self-regulatory organization established pursuant to Section 15B of the Securities Exchange Act. It has authority to regulate broker-dealers in municipal securities (as defined in SEA Section 3(a)(29)) and, as a result of the expansion of its authority by Dodd-Frank Section 975, municipal advisors.

This page provides a compendium of MSRB documents and of other materials relevant to the regulation of municipal securities. On the left-hand side of the page are the SEA statues and rules directly relevant to municipal securities, the MSRB Rules, and selected FINRA and banking rules. On the right-hand side of the page, under Developments, there is news as to municipal securities and other materials to keep current. To see a calendar of events for FINRA and the MSRB, go the Calendar page and select the "Calendar View" of "Securities SRO."

Further down the right-hand side of the page are regulatory materials and enforcement releases relevant to municipal securities and useful external links.

Lower down the page, under Know, you will find overview materials as to municipal security ties.

To research individual municipal securities rules go to the topic page MSRB Rules: Rule by Rule. To research broker-dealer rules by concept, go to the Topic dropdown at the top of the site.

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