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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.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule G-45
Last Updated:
04/22/2019
Reporting of Information on Municipal Fund Securities
Rule Summary: Requires dealers, when acting in the capacity of an underwriter for a 529 savings plan or ABLE program, to submit information on a semi-annual or, in the case of performance data, annual basis, to the MSRB.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
