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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-17 Conduct of Municipal Securities and Municipal Advisory Activities
Fair Practice Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-34 CUSIP Numbers, New Issue, and Market Information Requirements Market Transparency Dealers, Municipal Advisors, Bank Dealers
Rule A-8 Rulemaking Procedures Dealers
Rule G-17
Last Updated: 11/06/2019
Conduct of Municipal Securities and Municipal Advisory Activities

Rule Summary: Requires dealers and municipal advisors to deal fairly with all persons and not to engage in any deceptive, dishonest or unfair practice.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
Request for Comment (12/11/2024)
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
View Notice
Guidance (03/03/2025)
Time of Trade Disclosures in Inter-Dealer Transactions
View Guidance
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-8
Last Updated: No amendment history
Rulemaking Procedures
Rule for:

Dealers

Status:
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