Click to see Rules that have recent rulemaking activity or compliance resources:
Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers
Rule Summary: Requires dealers to provide customers with written confirmations of transactions, containing specified information, including mark-ups and mark-downs, and prescribes certain uniform practice procedures for dealers that transact municipal securities business with customers.
Dealers, Bank Dealers, Municipal Fund Securities
Notice
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Customer Account Transfers
Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.
Dealers, Bank Dealers, Municipal Fund Securities
Transactions with Employees and Partners of Other Municipal Securities Professionals
Rule Summary: Establishes requirements for dealers who open accounts or effect transactions in municipal securities for a customer who is known to be an employee or partner of another dealer.
Dealers, Bank Dealers, Municipal Fund Securities
Disclosures In Connection With Primary Offerings
Rule Summary: Requires underwriters to submit certain information to the Electronic Municipal Market Access (EMMA®) system and dealers to provide certain information to customers in connection with primary offerings.
Dealers, Bank Dealers, Municipal Fund Securities
CUSIP Numbers, New Issue, and Market Information Requirements
Rule Summary: Establishes requirements relating to CUSIP numbers for dealers and, in competitive offerings, municipal advisors; requires underwriter participation in the New Issue Information Dissemination Service (NIIDS); and requires submission of certain information and documents related to auction rate securities and variable rate demand obligations to the SHORT system.
Dealers, Municipal Advisors, Bank Dealers