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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:
Compliance Resource (11/19/2025)
Steps for Registering as a Municipal Advisor
Rule G-28
Last Updated:
02/24/2003
Transactions with Employees and Partners of Other Municipal Securities Professionals
Rule Summary: Establishes requirements for dealers who open accounts or effect transactions in municipal securities for a customer who is known to be an employee or partner of another dealer.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
