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
SEC Filing
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
Notice
SEC Approves Amendments to MSRB Rule G-14 on Reporting of Transaction Prices
Notice
SEC Approves Amendments to MSRB Rule G‐14 to Shorten Timeframe for Reporting Transactions in Municipal Securities
Notice
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Notice
SEC Approves Amendment to MSRB Rule G-12 to Promote the Completion of Allocations, Confirmations, and Affirmations by the End of Trade Date
Notice
MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1
Advertising by Municipal Advisors
Rule Summary: Prohibits municipal advisors from publishing false or misleading advertisements concerning the services of the municipal advisor or the engagement of a municipal advisory client or concerning the facilities, services or skills of any municipal advisor, establishes specific content standards for advertisements and requires a municipal advisor principal to approve, in writing, advertisement prior to first use.
Municipal Advisors, Municipal Fund Securities
Notice
SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media
Compliance Resource
FAQs on Use of Municipal Advisory Client Lists and Case Studies
Compliance Resource
Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40
Compliance Resource
Assessing Supervision of Municipal Advisor Advertising Regulations
