Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-34
Last Updated:
12/14/2017
CUSIP Numbers, New Issue, and Market Information Requirements
Rule Summary: Establishes requirements relating to CUSIP numbers for dealers and, in competitive offerings, municipal advisors; requires underwriter participation in the New Issue Information Dissemination Service (NIIDS); and requires submission of certain information and documents related to auction rate securities and variable rate demand obligations to the SHORT system.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule G-48
Last Updated:
10/05/2021
Transactions with Sophisticated Municipal Market Professionals
Rule Summary: Provides for modified dealer regulatory obligations under other MSRB rules when dealing with sophisticated municipal market professionals.
Rule for:
Dealers, Bank Dealers
Status:
