Click to see Rules that have recent rulemaking activity or compliance resources:

Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-27 Supervision
Regulated Entity Administration Dealers, Bank Dealers, Municipal Fund Securities
Rule A-13 Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Dealers, Bank Dealers, Municipal Fund Securities
Rule G-27
Last Updated: 07/01/2024
Supervision

Rule Summary: Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
View rule
Request for Comment (01/14/2026)
Request for Comment on MSRB Rule G-27 on Dealer Supervision
View Notice
Share
Rule A-13
Last Updated: 01/01/2026
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
View rule
SEC Filing (09/30/2025)
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
View SEC Filing
Notice (12/22/2025)
SEC Approves Amendments to MSRB Rules A-11 and A-13 Establishing New Multi-Year Rate Card Fees for Dealers and Municipal Advisors
View Notice
Share
Print