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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-32 Disclosures In Connection With Primary Offerings
Market Transparency Dealers, Bank Dealers, Municipal Fund Securities
Rule G-37 Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business Fair Practice Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
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:
Request for Comment (12/11/2024)
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
View Notice
Rule G-37
Last Updated: 08/04/2016
Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business

Rule Summary: Prohibits dealers from engaging in municipal securities business and municipal advisors from engaging in municipal advisory business with municipal entities if certain contributions have been made to officials of such municipal entities within the preceding two-year period, and requires dealers and municipal advisors to disclose certain political contributions and other information.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
Print