MSRB, SEC and OCIE RESOURCES FOR MUNICIPAL ADVISORS
MA Registration Information:MSRB Page for Municipal Advisors Including Registration Information SEC Office of Municipal Securities Web Page, Including MA Registration Instructions MSRB Rulemaking for MAsMSRB Rule G-37 MSRB How to Make a G-37 Submission Slide Deck Instructions for MSRB Form G-37, G-37x and G-38t MSRB Rule G-37 MSRB GATEWAY Manual Series 50 ExamOther MSRB RulemakingMSRB Rule G-42: Duties of Non-Solicitor MAs – Effective June 23, 2016 MSRB Rule G-20: Gifts, Gratuities and Non-Cash Compensation – Effective May 6, 2016 MSRB Rule G-44: Supervisory and Compliance Obligations of MAs – Effective April 26, 2016 List of MSRB Rulemaking and Interpretative Releases for Municipal Advisors SEC Information for MAsSEC FAQ’s - Regulation of Municipal Advisors SEC Final Rulemaking – Municipal Advisors OCIE Program InformationSEC OCIE/NEP’s MA Examination Initiative Press Release (August 2014) |