Rules

MSRB Rules

The MSRB establishes rules that securities firms, banks and municipal advisors must follow when engaging in municipal securities transactions and advising investors and state and local governments.

All G Rules ?
Rule Number Rule Name Regulated Entity Status
Rule G-1 Separately Identifiable Department or Division of a Bank Dealer, Dealer Financial Advisor -
Rule G-2 Standards of Professional Qualification Dealer -
Rule G-3 Classification of Principals and Representatives; Numerical Requirements; Testing; Continuing Education Requirements Dealer, Dealer Financial Advisor -
Rule G-4 Statutory Disqualifications Dealer -
Rule G-5 Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations Dealer, Municipal Advisor -
Rule G-6 Fidelity Bonding Requirements Dealer -
Rule G-7 Information Concerning Associated Persons Dealer -
Rule G-8 Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers Dealer Upcoming Change
Rule G-9 Preservation of Records Dealer -
Rule G-10 Delivery of Investor Brochure Dealer -
Rule G-11 Primary Offering Practices Dealer -
Rule G-12 Uniform Practice Dealer -
Rule G-13 Quotations Relating to Municipal Securities Dealer -
Rule G-14 Reports of Sales or Purchases Dealer -
Rule G-15 Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers Dealer -
Rule G-16 Periodic Compliance Examination Dealer -
Rule G-17 Conduct of Municipal Securities and Municipal Advisory Activities Dealer, Municipal Advisor -
Rule G-18 Execution of Transactions Dealer -
Rule G-19 Suitability of Recommendations and Transactions; Discretionary Accounts Dealer -
Rule G-20 Gifts, Gratuities and Non-Cash Compensation Dealer -
Rule G-21 Advertising Dealer -
Rule G-22 Control Relationships Dealer -
Rule G-23 Activities of Financial Advisors Dealer, Dealer Financial Advisor -
Rule G-24 Use of Ownership Information Obtained in Fiduciary or Agency Capacity Dealer, Dealer Financial Advisor -
Rule G-25 Improper Use of Assets Dealer -
Rule G-26 Customer Account Transfers Dealer -
Rule G-27 Supervision Dealer, Dealer Financial Advisor -
Rule G-28 Transactions with Employees and Partners of Other Municipal Securities Professionals Dealer -
Rule G-29 Availability of Board Rules Dealer -
Rule G-30 Prices and Commissions Dealer -
Rule G-31 Reciprocal Dealings with Municipal Securities Investment Companies Dealer -
Rule G-32 Disclosures In Connection With Primary Offerings Dealer, Dealer Financial Advisor -
Rule G-33 Calculations Dealer -
Rule G-34 CUSIP Numbers, New Issue, and Market Information Requirements Dealer, Dealer Financial Advisor -
Rule G-35 Arbitration Dealer -
Rule G-36 Reserved -
Rule G-37 Political Contributions and Prohibitions on Municipal Securities Business Dealer, Dealer Financial Advisor Upcoming Change
Rule G-38 Solicitation of Municipal Securities Business Dealer, Dealer Financial Advisor -
Rule G-39 Telemarketing Dealer -
Rule G-40 Electronic Mail Contacts Dealer, Municipal Advisor -
Rule G-41 Anti-Money Laundering Compliance Program Dealer -
Rule G-42 Reserved -
Rule G-43 Broker’s Brokers Dealer -