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
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
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