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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
Status:
Rule G-45
Last Updated:
04/22/2019
Reporting of Information on Municipal Fund Securities
Rule Summary: Requires dealers, when acting in the capacity of an underwriter for a 529 savings plan or ABLE program, to submit information on a semi-annual or, in the case of performance data, annual basis, to the MSRB.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
Rule D-15
Last Updated:
No amendment history
Request for Comment on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional