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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-27 Supervision
Regulated Entity Administration Dealers, Bank Dealers, Municipal Fund Securities
Rule A-12 Registration
Dealers, Municipal Advisors
Rule G-27
Last Updated: 07/01/2024
Supervision

Rule Summary: Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Request for Comment (01/14/2026)
Request for Comment on MSRB Rule G-27 on Dealer Supervision
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Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers, Municipal Advisors

Status:
Compliance Resource (11/19/2025)
Steps for Registering as a Municipal Advisor
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