INTERPRETIVE NOTICES

Notices to Administrative Rules

A-3 Membership on the Board

A-13 Underwriting and transaction assessments for brokers, dealers and municipal securities dealers

Notices to Definitional Rules

D-12 Municipal Fund Security

Notices to General Rules

G-3 Classification of principals and representatives; numerical requirements; testing; continuing education requirements

G-6 Fidelity bonding requirements NASD Rule 3020

G-7 Information concerning associated persons

G-8 Books and records to be made by brokers, dealers and municipal securities dealers

G-11 New issue syndicate practices

G-12 Uniform practice

G-13 Quotations relating to municipal securities

G-14 Reports of sales or purchases

G-15 Confirmation, clearance and settlement of transactions with customers

G-16 Periodic compliance examination

G-17 Conduct of municipal securities activities

G-19 Suitability of recommendations and transactions; discretionary accounts

G-20 Gifts, gratuities and non-cash compensation

G-21 Advertising

G-23 Activities of financial advisors

G-27 Supervision

G-29 Availability of Board rules

G-30 Prices and commissions

G-32 Disclosures in Connection with New Issues

G-33 Calculations

G-34 CUSIP numbers and new issue requirements

G-35 Arbitration

G-36 Delivery of official statements, advance refunding documents and Forms G-36(OS) and G-36(ARD) to Board or its designee

G-37 Political contributions and prohibitions on municipal securities business
        • Notices
        • Questions and Answers

G-38 Solicitation of municipal securities business

G-39 Telemarketing

 

©2008 Municipal Securities Rulemaking Board. All Rights Reserved. Terms and Conditions of Use.