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Rule G-3
Last Updated:
10/12/2023
Professional Qualification Requirements
Rule Summary: Establishes professional qualification and continuing education requirements for, and specifies the number of supervisory personnel who must be associated with, dealers and municipal advisors.
Rule for:
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Status:
Notice
SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8
Compliance Resource
Steps for Registering as a Municipal Advisor
Rule G-38
Last Updated:
04/22/2019
Solicitation of Municipal Securities Business
Rule Summary: Prohibits dealers from paying persons who are not affiliated with the dealers for a solicitation of municipal securities business on their behalf.
Rule for:
Dealers, Bank Dealers
Status:
