Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-5
Last Updated:
12/22/2010
Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations
Rule Summary: Prohibits dealers and municipal advisors from effecting transactions in municipal securities or engaging in municipal advisory activities in violation of restrictions imposed by other regulatory bodies.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule G-41
Last Updated:
04/22/2019
Anti-Money Laundering Compliance Program
Rule Summary: Requires a dealer to establish and implement an anti-money laundering program that complies with the rules and regulations governing anti-money laundering programs of either its registered securities association or its appropriate banking regulator.
Rule for:
Dealers, Bank Dealers
Status:
IF-1
Last Updated:
10/01/2025
Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
Status:
Notice (09/17/2025)
SEC Approves Amendments to MSRB Rule G-14 on Reporting of Transaction Prices
