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Compliance Resource
Publication date:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44, Rule A-12

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Compliance Resource
Publication date:
Supervisory Responsibilities of Qualified Principals
Information for:

Dealers

Rule Number:

Rule G-3, Rule G-27

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Compliance Resource
Publication date:
Resource on Disclosing Mark-ups and Determining Prevailing Market Price
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

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Compliance Resource
Publication date:
G-37 Municipal Advisory Business Import Instructions
Information for:

Municipal Advisors

Rule Number:

Rule G-37

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Compliance Resource
Publication date:
G-37 Municipal Securities Business Import Instructions
Rule Number:

Rule G-37

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Compliance Resource
Publication date:
Q&A Summary: MSRB Compliance Workshop on Small Firm Municipal Advisor Supervision
Information for:

Municipal Advisors

Rule Number:

Rule G-44

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Compliance Resource
Publication date:
Sample Template and Checklist for Municipal Advisor WSPs
Information for:

Municipal Advisors

Rule Number:

Rule G-44

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Compliance Resource
Publication date:
FAQs Regarding MSRB Rule G-42 and Making Recommendations
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

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Compliance Resource
Publication date:
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers
Rule Number:

Rule G-18, Rule G-43

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