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Rule G-22
Last Updated:
No amendment history
Control Relationships
Rule Summary: Prohibits discretionary account transactions and effecting purchase and sale transactions of municipal securities by dealers, where the dealer has a control relationship with respect to the security, absent disclosure to the customer of such relationship.
Rule for:
Dealers, Bank Dealers
Status:
Rule A-13
Last Updated:
08/09/2022
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
SEC Filing
Proposed Rule Change to Amend MSRB Rules A-11 and A-13 Pursuant to a Multi-Year Rate Card and to Make Related Technical Amendments
SEC Filing
Proposed Rule Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)
Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
