Click to see Rules that have recent rulemaking activity or compliance resources:
Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers
Rule Summary: Requires dealers to provide customers with written confirmations of transactions, containing specified information, including mark-ups and mark-downs, and prescribes certain uniform practice procedures for dealers that transact municipal securities business with customers.
Dealers, Bank Dealers, Municipal Fund Securities
Supervision
Rule Summary: Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.
Dealers, Bank Dealers, Municipal Fund Securities
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
Request for Comment on MSRB Rule G-27 on Dealer Supervision