Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-34
Last Updated:
12/14/2017
CUSIP Numbers, New Issue, and Market Information Requirements
Rule Summary: Establishes requirements relating to CUSIP numbers for dealers and, in competitive offerings, municipal advisors; requires underwriter participation in the New Issue Information Dissemination Service (NIIDS); and requires submission of certain information and documents related to auction rate securities and variable rate demand obligations to the SHORT system.
Rule for:
Dealers, Municipal Advisors, 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Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN)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
