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Rule G-27
Last Updated:
07/01/2024
Supervision
Rule Summary: Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
Rule G-44
Last Updated:
04/20/2020
Supervisory and Compliance Obligations of Municipal Advisors
Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.
Rule for:
Municipal Advisors, Municipal Fund Securities
Status:
Request for Comment on MSRB Rule G-27 on Dealer Supervision