Click to see Rules that have recent rulemaking activity or compliance resources:
Prices and Commissions
Rule Summary: Requires dealers to effect transactions in municipal securities with customers at fair and reasonable prices, if acting as principal, and to make reasonable efforts to obtain fair and reasonable prices for customers and to charge fair and reasonable commissions, if acting as agent.
Dealers, Bank Dealers, Municipal Fund Securities
Duties of Solicitor Municipal Advisors
Rule Summary: Establishes the core standards of conduct for solicitor municipal advisors when engaging in solicitation activities that would require them to register with the SEC and the MSRB as municipal advisors.
Municipal Advisors, General Public, Issuers
"Appropriate Regulatory Agency"
Dealers, Municipal Advisors, Bank Dealers