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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-4 Statutory Disqualifications Professional Qualification Dealers, Bank Dealers
Rule G-13 Quotations Relating to Municipal Securities Fair Practice Dealers, Bank Dealers
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-13
Last Updated: 06/15/1999
Quotations Relating to Municipal Securities

Rule Summary: Requires quotations distributed or published by a dealer to represent bona fide bids or offers of municipal securities, based upon the dealer’s best judgment of the fair market value of the securities, and prohibits misrepresentation of another dealer’s quotations.

Rule for:

Dealers, Bank Dealers

Status:
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