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Rules with Recent

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Number Name Status Rule Category Regulated Entity
Rule G-37 Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business Fair Practice Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-46 Duties of Solicitor Municipal Advisors
Fair Practice Municipal Advisors, General Public, Issuers
Rule G-37
Last Updated: 08/04/2016
Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business

Rule Summary: Prohibits dealers from engaging in municipal securities business and municipal advisors from engaging in municipal advisory business with municipal entities if certain contributions have been made to officials of such municipal entities within the preceding two-year period, and requires dealers and municipal advisors to disclose certain political contributions and other information.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
Rule G-46
Last Updated: 03/01/2024
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.

Rule for:

Municipal Advisors, General Public, Issuers

Status:
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