Click to see Rules that have recent rulemaking activity or compliance resources:
Standards of Professional Qualification
Rule Summary: Prohibits dealers from effecting transactions in municipal securities and municipal advisors from engaging in municipal advisory activities unless they and their associated personnel are qualified in accordance with MSRB rules.
Dealers, Municipal Advisors, Bank Dealers
Steps for Registering as a Municipal Advisor
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.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Customer Account Transfers
Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.
Dealers, Bank Dealers, Municipal Fund Securities
