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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-1 Separately Identifiable Department or Division of a Bank Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule G-1
Last Updated: 02/26/2015
Separately Identifiable Department or Division of a Bank

Rule Summary: Defines the term “separately identifiable department or division of a bank” and sets forth bank activities that constitute dealer activities.

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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