Click to see Rules that have recent rulemaking activity or compliance resources:
Conduct of Municipal Securities and Municipal Advisory Activities
Rule Summary: Requires dealers and municipal advisors to deal fairly with all persons and not to engage in any deceptive, dishonest or unfair practice.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Time of Trade Disclosures in Inter-Dealer Transactions
Prices and Commissions
Rule Summary: Requires dealers to effect transactions in municipal securities with customers at fair and reasonable prices, if acting as principal, and to make reasonable efforts to obtain fair and reasonable prices for customers and to charge fair and reasonable commissions, if acting as agent.
Dealers, Bank Dealers, Municipal Fund Securities
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.
Dealers, Bank Dealers, Municipal Fund Securities
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations