Click to see Rules that have recent rulemaking activity or compliance resources:
Standards of Professional Qualification
Rule Summary: Prohibits dealers from effecting transactions in municipal securities and municipal advisors from engaging in municipal advisory activities unless they and their associated personnel are qualified in accordance with MSRB rules.
Dealers, Municipal Advisors, Bank Dealers
Steps for Registering as a Municipal Advisor
Professional Qualification Requirements
Rule Summary: Establishes professional qualification and continuing education requirements for, and specifies the number of supervisory personnel who must be associated with, dealers and municipal advisors.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Steps for Registering as a Municipal Advisor
Duties of Solicitor Municipal Advisors
Rule Summary: Establishes the core standards of conduct for solicitor municipal advisors when engaging in solicitation activities that would require them to register with the SEC and the MSRB as municipal advisors.
Municipal Advisors, General Public, Issuers
Proposed Rule Change to Amend MSRB Rules A-11 and A-13 Pursuant to a Multi-Year Rate Card and to Make Related Technical Amendments
SEC Approves Amendments to MSRB Rules A-11 and A-13 Establishing New Multi-Year Rate Card Fees for Dealers and Municipal Advisors
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Testing
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
