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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-12 Registration
Dealers, Municipal Advisors
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers, Municipal Advisors

Status:
Compliance Resource
Steps for Registering as a Municipal Advisor
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Rule D-15
Last Updated: No amendment history
Sophisticated Municipal Market Professional
Rule for:

Dealers, Bank Dealers

Status:
Request for Comment
Request for Comment on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional
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