Click to see Rules that have recent rulemaking activity or compliance resources:
Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations
Rule Summary: Prohibits dealers and municipal advisors from effecting transactions in municipal securities or engaging in municipal advisory activities in violation of restrictions imposed by other regulatory bodies.
Dealers, Municipal Advisors, Bank Dealers
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
Supervisory and Compliance Obligations of Municipal Advisors
Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.
Municipal Advisors, Municipal Fund Securities
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations