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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:
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:
