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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-23 Activities of Financial Advisors Fair Practice Dealers, Municipal Advisors, Bank Dealers
Rule G-32 Disclosures In Connection With Primary Offerings Market Transparency Dealers, Bank Dealers, Municipal Fund Securities
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.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

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Rule G-32
Last Updated: 02/22/2021
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.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
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Request for Comment
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
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