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Expanded Compact
Number Name Status Rule Category Regulated Entity
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-47 Time of Trade Disclosure
Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
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:
Rule G-47
Last Updated: 03/03/2025
Time of Trade Disclosure

Rule Summary: Requires dealers to disclose to customers at or prior to the time of trade all material information known or available publicly through established industry sources.

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
Guidance (03/03/2025)
Time of Trade Disclosures in Inter-Dealer Transactions
View Guidance
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