Click to see Rules that have recent rulemaking activity or compliance resources:

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-4 Statutory Disqualifications Professional Qualification Dealers, Bank Dealers
Rule G-32 Disclosures In Connection With Primary Offerings Market Transparency Dealers, Bank Dealers, Municipal Fund Securities
Rule G-4
Last Updated: 08/07/1991
Statutory Disqualifications

Rule Summary: Prohibits dealers and their associated persons who have been the subject of certain disciplinary actions from qualifying under the MSRB’s professional qualification rules.

Rule for:

Dealers, Bank Dealers

Status:
View rule
Share
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:
View rule
Request for Comment
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
View Notice
Share
Print