Click to see Rules that have recent rulemaking activity or compliance resources:
Standards of Professional Qualification
Rule Summary: Prohibits dealers from effecting transactions in municipal securities and municipal advisors from engaging in municipal advisory activities unless they and their associated personnel are qualified in accordance with MSRB rules.
Dealers, Municipal Advisors, Bank Dealers
Steps for Registering as a Municipal Advisor
Supervision
Rule Summary: Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.
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
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Time of Trade Disclosure
Rule Summary: Requires dealers to disclose to customers at or prior to the time of trade all material information known or available publicly through established industry sources.
Dealers, Bank Dealers, Municipal Fund Securities
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Time of Trade Disclosures in Inter-Dealer Transactions
Request for Comment on MSRB Rule G-27 on Dealer Supervision