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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-11 Primary Offering Practices Fair Practice Dealers, Bank Dealers
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

Status:
Rule G-11
Last Updated: 06/27/2019
Primary Offering Practices

Rule Summary: Establishes terms and conditions for sales by dealers of new issues of municipal securities in primary offerings, including provisions on priority of customer orders.

Rule for:

Dealers, Bank Dealers

Status:
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