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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-48 Transactions with Sophisticated Municipal Market Professionals Fair Practice Dealers, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule G-48
Last Updated: 10/05/2021
Transactions with Sophisticated Municipal Market Professionals

Rule Summary: Provides for modified dealer regulatory obligations under other MSRB rules when dealing with sophisticated municipal market professionals.

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