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

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-40 Advertising by Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule G-45 Reporting of Information on Municipal Fund Securities Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule A-15 Rule A-15-Reserved
Rule G-40
Last Updated: 07/03/2023
Advertising by Municipal Advisors

Rule Summary: Prohibits municipal advisors from publishing false or misleading advertisements concerning the services of the municipal advisor or the engagement of a municipal advisory client or concerning the facilities, services or skills of any municipal advisor, establishes specific content standards for advertisements and requires a municipal advisor principal to approve, in writing, advertisement prior to first use.

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
Rule G-45
Last Updated: 04/22/2019
Reporting of Information on Municipal Fund Securities

Rule Summary: Requires dealers, when acting in the capacity of an underwriter for a 529 savings plan or ABLE program, to submit information on a semi-annual or, in the case of performance data, annual basis, to the MSRB.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Rule A-15
Last Updated: No amendment history
Rule A-15-Reserved
Status:
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