Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-24
Last Updated:
No amendment history
Use of Ownership Information Obtained in Fiduciary or Agency Capacity
Rule Summary: Prohibits dealers from using non-public information obtained in the course of certain fiduciary or agency capacities concerning the ownership of securities in furtherance of their business activities or for financial gain.
Rule for:
Dealers, Bank Dealers
Status:
Rule A-18
Last Updated:
No amendment history
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Notice (01/16/2026)
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Testing
Notice (01/17/2025)
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
IF-1
Last Updated:
10/01/2025
Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
Status:
Notice (09/17/2025)
SEC Approves Amendments to MSRB Rule G-14 on Reporting of Transaction Prices
