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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-44 Supervisory and Compliance Obligations of Municipal Advisors Regulated Entity Administration Municipal Advisors, Municipal Fund Securities
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule G-44
Last Updated: 04/20/2020
Supervisory and Compliance Obligations of Municipal Advisors

Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.

Rule for:

Municipal Advisors, Municipal Fund Securities

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