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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-24 Use of Ownership Information Obtained in Fiduciary or Agency Capacity Fair Practice Dealers, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule G-24
Last Updated: No amendment history
Use of Ownership Information Obtained in Fiduciary or Agency Capacity

Rule Summary: Prohibits dealers from using non-public information obtained in the course of certain fiduciary or agency capacities concerning the ownership of securities in furtherance of their business activities or for financial gain.

Rule for:

Dealers, 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 on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional
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