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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 D-10 "Discretionary Account" Dealers, Bank 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:
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Request for Comment
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
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Rule D-10
Last Updated: No amendment history
"Discretionary Account"
Rule for:

Dealers, Bank Dealers

Status:
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