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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-6 Fidelity Bonding Requirements Regulated Entity Administration Dealers
Rule G-10 Investor and Municipal Advisory Client Education and Protection Fair Practice Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-6
Last Updated: 06/15/1999
Fidelity Bonding Requirements

Rule Summary: Requires dealers that are members of a registered securities association to meet the fidelity bonding requirements set by the association, as a prerequisite to qualification for purposes of MSRB Rule G-2.

Rule for:

Dealers

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Rule G-10
Last Updated: 10/05/2021
Investor and Municipal Advisory Client Education and Protection

Rule Summary: Requires dealers and municipal advisors to provide certain notices to customers and clients within specified timeframes.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

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