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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-9 Preservation of Records Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule G-9
Last Updated: 06/25/2020
Preservation of Records

Rule Summary: Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

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Rule D-15
Last Updated: No amendment history
Sophisticated Municipal Market Professional
Rule for:

Dealers, Bank Dealers

Status:
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Request for Comment
Request for Comment on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional
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