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

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-9 Preservation of Records Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers
Rule G-48 Transactions with Sophisticated Municipal Market Professionals Fair Practice Dealers, Bank Dealers
Rule G-9
Last Updated: 06/25/2020
Preservation of Records

Rule Summary: Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
View rule
Share
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:
View rule
Share
Print