Click to see Rules that have recent rulemaking activity or compliance resources:
Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors
Rule Summary: Requires dealers and municipal advisors to make and keep current certain specified records.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
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
Applicability of Trade Reporting for Certain Allocations to Customer Accounts By Dually-Registered Broker-Dealers/Investment Advisers
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
Transactions with Sophisticated Municipal Market Professionals
Rule Summary: Provides for modified dealer regulatory obligations under other MSRB rules when dealing with sophisticated municipal market professionals.
Dealers, Bank Dealers
