Click to see Rules that have recent rulemaking activity or compliance resources:
Advertising by Brokers, Dealers or Municipal Securities Dealers
Rule Summary: Prohibits dealers from publishing false or misleading advertisements relating to municipal securities or concerning the facilities, services or skills of any dealer; establishes specific requirements for advertisements of new issues and municipal fund securities; and requires a municipal securities or general securities principal to approve in writing advertisements prior to first use.
Dealers, Bank Dealers, Municipal Fund Securities
Transactions with Sophisticated Municipal Market Professionals
Rule Summary: Provides for modified dealer regulatory obligations under other MSRB rules when dealing with sophisticated municipal market professionals.
Dealers, Bank Dealers