Rules | MSRB

Click to see Rules that have recent rulemaking activity or compliance resources:

Number	Name	Status	Rule Category	Regulated Entity
Rule G-2	Standards of Professional Qualification		Professional Qualification	Dealers, Municipal Advisors, Bank Dealers
Rule G-23	Activities of Financial Advisors		Fair Practice	Dealers, Municipal Advisors, Bank Dealers

Rule G-2

Last Updated: 02/26/2015

Standards of Professional Qualification

Rule Summary: Prohibits dealers from effecting transactions in municipal securities and municipal advisors from engaging in municipal advisory activities unless they and their associated personnel are qualified in accordance with MSRB rules.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:

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Notice

SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8

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Compliance Resource

Steps for Registering as a Municipal Advisor

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Rule G-23

Last Updated: 05/27/2011

Activities of Financial Advisors

Rule Summary: Requires dealers to evidence in writing financial advisory relationships and prohibits dealers from serving as financial advisor and underwriter or placement agent on the same issue.