Click to see Rules that have recent rulemaking activity or compliance resources:
Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors
Rule Summary: Requires dealers and municipal advisors to make and keep current certain specified records.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Notice
SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8
Notice
SEC Approves Amended MSRB Rule G-40 on Advertising by Municipal Advisors, Related Amendments to MSRB Rule G-8(h) on Books and Records to be Made by Municipal Advisors and Related Updates to the MSRB’s FAQs regarding the Use of Social Media
Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers
Rule Summary: 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.
Dealers, Bank Dealers, Municipal Fund Securities
Notice
MSRB to Retire Select Interpretive Guidance Regarding Inter-Dealer Confirmation Disclosures
Notice
MSRB Adopts Amendments to Rules G-12 and G-15, Shortening Regular-Way Settlement for Municipal Securities Transactions to T+1
Customer Account Transfers
Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.
Dealers, Bank Dealers, Municipal Fund Securities
Supervision
Rule Summary: Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.
Dealers, Bank Dealers, Municipal Fund Securities
SEC Filing
Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Allow Eligible Dealers to Fulfill Their Internal Inspection Obligation of Certain Offices and Locations Remotely for a Pilot Period, Subject to the Conditions Prescribed under FINRA’s Remote Inspections Pilot Program
SEC Filing
Proposed Rule Change to Amend MSRB Rule G-27, on Dealer Supervision, to Adopt a New Residential Supervisory Location Classification
SEC Filing
Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities
Notice
MSRB Amends Rule G-27 to Allow Dealers to Conduct Remote Inspections, Consistent with Recent FINRA Amendments
Notice
MSRB Amends Rule G-27 to Adopt the Residential Supervisory Location Classification Consistent with FINRA Dealer Supervision Provisions
Notice
MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16
Transactions with Employees and Partners of Other Municipal Securities Professionals
Rule Summary: 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.
Dealers, Bank Dealers, Municipal Fund Securities
Supervisory and Compliance Obligations of Municipal Advisors
Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.
Municipal Advisors, Municipal Fund Securities
