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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-4 Statutory Disqualifications Professional Qualification Dealers, Bank Dealers
Rule A-13 Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
Dealers, Bank Dealers, Municipal Fund Securities
Rule G-4
Last Updated: 08/07/1991
Statutory Disqualifications

Rule Summary: Prohibits dealers and their associated persons who have been the subject of certain disciplinary actions from qualifying under the MSRB’s professional qualification rules.

Rule for:

Dealers, Bank Dealers

Status:
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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:
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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
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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Change to Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13 (WITHDRAWN) 
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Notice
Existing Dealer and Municipal Advisor Fees Maintained Upon Withdrawal of 2024 Annual Rate Card
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Notice
Current Dealer and Municipal Advisor Fees Upon SEC Suspension of 2024 Annual Rate Card Fees
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