452 Results Found
Rule
Standards of Professional Qualification
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.
Rule
Gifts, Gratuities, Non-Cash Compensation and Expenses of Issuance
Prohibits dealers and municipal advisors from giving gifts or providing services in excess of $100 to another person in relation to the municipal securities activities of such person’s employer and limits the giving and acceptance of non-cash compensation by dealers, subject to exceptions.
Rule
Activities of Financial Advisors
Requires dealers to evidence in writing financial advisory relationships and prohibits dealers from serving as financial advisor and underwriter or placement agent on the same issue.
Rule
Professional Qualification Requirements
Establishes professional qualification and continuing education requirements for, and specifies the number of supervisory personnel who must be associated with, dealers and municipal advisors.
Rule
CUSIP Numbers, New Issue, and Market Information Requirements
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
Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business
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
Advertising by Municipal Advisors
Prohibits municipal advisors from publishing false or misleading advertisements concerning the services of the municipal advisor or the engagement of a municipal advisory client or concerning the facilities, services or skills of any municipal advisor, establishes specific content standards for advertisements and requires a municipal advisor principal to approve, in writing, advertisement prior to first use.
Rule
Duties of Non-Solicitor Municipal Advisors
Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).
Rule
Supervisory and Compliance Obligations of Municipal Advisors
Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.
Rule
Duties of Solicitor Municipal Advisors
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.
Rule
Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations
Prohibits dealers and municipal advisors from effecting transactions in municipal securities or engaging in municipal advisory activities in violation of restrictions imposed by other regulatory bodies.
Rule
Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors
Requires dealers and municipal advisors to make and keep current certain specified records.
Rule
Preservation of Records
Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.
Rule
Assessments for Municipal Advisor Professionals
Rule
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule
Board Membership: Composition, Elections, Removal, Compensation
Rule
Separately Identifiable Department or Division of a Bank
Defines the term “separately identifiable department or division of a bank” and sets forth bank activities that constitute dealer activities.
Rule
Investor and Municipal Advisory Client Education and Protection
Requires dealers and municipal advisors to provide certain notices to customers and clients within specified timeframes.
Rule
Conduct of Municipal Securities and Municipal Advisory Activities
Requires dealers and municipal advisors to deal fairly with all persons and not to engage in any deceptive, dishonest or unfair practice.
