Click to see Rules that have recent rulemaking activity or compliance resources:
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
Status:
Rule G-48
Last Updated:
10/05/2021
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.
Rule for:
Dealers, Bank Dealers
Status:
