103 Results Found
Rule
Suitability of Recommendations and Transactions
Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.
Rule
Advertising by Brokers, Dealers or Municipal Securities Dealers
Prohibits dealers from publishing false or misleading advertisements relating to municipal securities or concerning the facilities, services or skills of any dealer; establishes specific requirements for advertisements of new issues and municipal fund securities; and requires a municipal securities or general securities principal to approve in writing advertisements prior to first use.
Rule
Customer Account Transfers
Ensures that a uniform account transfer standard applies to all dealers.
Rule
Supervision
Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.
Rule
Transactions with Employees and Partners of Other Municipal Securities Professionals
Establishes requirements for dealers who open accounts or effect transactions in municipal securities for a customer who is known to be an employee or partner of another dealer.
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
Prices and Commissions
Requires dealers to effect transactions in municipal securities with customers at fair and reasonable prices, if acting as principal, and to make reasonable efforts to obtain fair and reasonable prices for customers and to charge fair and reasonable commissions, if acting as agent.
Rule
Disclosures In Connection With Primary Offerings
Requires underwriters to submit certain information to the Electronic Municipal Market Access (EMMA®) system and dealers to provide certain information to customers in connection with primary offerings.
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
Telemarketing
Establishes telemarketing requirements with respect to the municipal securities activities of dealers.
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
Reporting of Information on Municipal Fund Securities
Requires dealers, when acting in the capacity of an underwriter for a 529 savings plan or ABLE program, to submit information on a semi-annual or, in the case of performance data, annual basis, to the MSRB.
Rule
Time of Trade Disclosure
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
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
Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
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
Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers
Requires dealers to provide customers with written confirmations of transactions, containing specified information, including mark-ups and mark-downs, and prescribes certain uniform practice procedures for dealers that transact municipal securities business with customers.
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.
Regulatory Document
MSRB to Collect Additional Data About 529 College Savings Plans
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
Proposed Rule Change to Amend MSRB Rule G-47, on Time of Trade Disclosure, to Codify and Retire Certain Existing Interpretive Guidance and Add New Time of Trade Disclosure Scenarios
Bank Dealers, Dealers, Municipal Fund Securities
Regulatory Document
Preparing to Submit MSRB Form A-12
Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities
Regulatory Document
2004 SEC Filings
Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors, Municipal Fund Securities
