Click to see Rules that have recent rulemaking activity or compliance resources:
Uniform Practice
Rule Summary: Establishes uniform industry practices for the processing, clearance and settlement of transactions between dealers in municipal securities.
Dealers, Bank Dealers
Proposed Rule Change to Amend Rule G-14 RTRS Procedures under MSRB Rule G-14 Regarding the Timing of Reporting Transactions in Municipal Securities to the MSRB and to Make a Related Amendment to Rule G-12
SEC Approves Amendments to MSRB Rule G-14 on Reporting of Transaction Prices
Suitability of Recommendations and Transactions
Rule Summary: Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.
Dealers, Bank Dealers, Municipal Fund Securities
Gifts, Gratuities, Non-Cash Compensation and Expenses of Issuance
Rule Summary: Prohibits dealers and municipal advisors from giving gifts or providing services in excess of $100 to another person in relation to the municipal securities activities of such person’s employer and limits the giving and acceptance of non-cash compensation by dealers, subject to exceptions.
Dealers, Municipal Advisors, Bank Dealers
