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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-23 Activities of Financial Advisors Fair Practice Dealers, Municipal Advisors, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
IF-1 Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
Rule G-23
Last Updated: 05/27/2011
Activities of Financial Advisors

Rule Summary: Requires dealers to evidence in writing financial advisory relationships and prohibits dealers from serving as financial advisor and underwriter or placement agent on the same issue.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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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 (11/03/2025)
Request for Comment on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional
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IF-1
Last Updated: 10/01/2025
Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
Status:
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Notice (09/17/2025)
SEC Approves Amendments to MSRB Rule G-14 on Reporting of Transaction Prices
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