Click to see Rules that have recent rulemaking activity or compliance resources:
Reports of Sales or Purchases
Rule Summary: Prohibits dealers from distributing or publishing reports of purchases or sales of municipal securities unless the report is made with knowledge or reason to believe that the transaction was effected, and without any reason to believe that the reported transaction is fictitious, or in furtherance of any fraudulent, deceptive or manipulative purpose, and establishes transaction reporting requirements and procedures.
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
SEC Filing
Proposed Rule Change to Amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility to Retire the Transmission Control Protocol Secure Socket Connection
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
Activities of Financial Advisors
Rule Summary: Requires dealers to evidence in writing financial advisory relationships and prohibits dealers from serving as financial advisor and underwriter or placement agent on the same issue.
Dealers, Municipal Advisors, Bank Dealers
Request for Comment
Request for Comment on Transaction Reporting Obligations under MSRB Rule G-14