Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-4
Last Updated:
08/07/1991
Statutory Disqualifications
Rule Summary: Prohibits dealers and their associated persons who have been the subject of certain disciplinary actions from qualifying under the MSRB’s professional qualification rules.
Rule for:
Dealers, Bank Dealers
Status:
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
Status:
