Click to see Rules that have recent rulemaking activity or compliance resources:
Periodic Compliance Examination
Rule Summary: Sets forth minimum scope and frequency of periodic compliance examinations of dealers by a registered securities association and bank regulators.
Dealers, Bank Dealers
Conduct of Municipal Securities and Municipal Advisory Activities
Rule Summary: Requires dealers and municipal advisors to deal fairly with all persons and not to engage in any deceptive, dishonest or unfair practice.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Time of Trade Disclosures in Inter-Dealer Transactions
Duties of Solicitor Municipal Advisors
Rule Summary: Establishes the core standards of conduct for solicitor municipal advisors when engaging in solicitation activities that would require them to register with the SEC and the MSRB as municipal advisors.
Municipal Advisors, General Public, Issuers
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations