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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-16 Periodic Compliance Examination
Regulated Entity Administration Dealers, Bank Dealers
Rule G-32 Disclosures In Connection With Primary Offerings
Market Transparency Dealers, Bank Dealers, Municipal Fund Securities
Rule G-16
Last Updated: 12/09/2020
Periodic Compliance Examination

Rule Summary: Sets forth minimum scope and frequency of periodic compliance examinations of dealers by a registered securities association and bank regulators.

Rule for:

Dealers, Bank Dealers

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Rule G-32
Last Updated: 02/22/2021
Disclosures In Connection With Primary Offerings

Rule Summary: Requires underwriters to submit certain information to the Electronic Municipal Market Access (EMMA®) system and dealers to provide certain information to customers in connection with primary offerings.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
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Request for Comment (12/11/2024)
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
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