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Compliance Resource
Publication date:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44, Rule A-12

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Compliance Resource
Publication date:
Supervisory Responsibilities of Qualified Principals
Information for:

Dealers

Rule Number:

Rule G-3, Rule G-27

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Compliance Resource
Publication date:
Resource on Disclosing Mark-ups and Determining Prevailing Market Price
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-15, Rule G-30

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Compliance Resource
Publication date:
G-37 Municipal Advisory Business Import Instructions
Information for:

Municipal Advisors

Rule Number:

Rule G-37

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Compliance Resource
Publication date:
G-37 Municipal Securities Business Import Instructions
Rule Number:

Rule G-37

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Compliance Resource
Publication date:
Q&A Summary: MSRB Compliance Workshop on Small Firm Municipal Advisor Supervision
Information for:

Municipal Advisors

Rule Number:

Rule G-44

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Compliance Resource
Publication date:
Sample Template and Checklist for Municipal Advisor WSPs
Information for:

Municipal Advisors

Rule Number:

Rule G-44

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Compliance Resource
Publication date:
FAQs Regarding MSRB Rule G-42 and Making Recommendations
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-42

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Compliance Resource
Publication date:
MSRB Reminds Dealers of Existing Guidance on Filtering of Bids and Offers
Rule Number:

Rule G-18, Rule G-43

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Compliance Resource
Publication date:
FAQs on Continuing Education Program Requirements for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Compliance Resource
Publication date:
Developing a CE Needs Analysis and Written Training Plan
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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Compliance Resource
Publication date:
FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10

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Compliance Resource
Publication date:
MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

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Compliance Resource
Publication date:
Application of MSRB Rules to Solicitor Municipal Advisors
Information for:

General Public, Issuers, Municipal Advisors

Rule Number:

Rule G-42

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Compliance Resource
Publication date:
Considerations for Developing a Municipal Advisory Supervisory System and Compliance Program
Information for:

Municipal Advisors

Rule Number:

Rule G-44

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Compliance Resource
Publication date:
MSRB Form G-32
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
MSRB Provides Guidance on MSRB Rule G-14, on Reports of Sales or Purchases of Municipal Securities
Information for:

Dealers

Rule Number:

Rule G-14

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Compliance Resource
Publication date:
MSRB Files Amendment to Rule G-37 to Clarify its Application to Contributions before August 17, 2016
Information for:

Dealers, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-37

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Compliance Resource
Publication date:
Municipal Advisors: Understanding Standards of Conduct
Information for:

Issuers, Municipal Advisors

Rule Number:

Rule G-42

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Compliance Resource
Publication date:
MSRB Revises Effective Date for Amendments to MSRB Rule G-14, on Transaction Reporting
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-14

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Compliance Resource
Publication date:
Underwriters: Understanding Duties of Municipal Advisors
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-42

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Compliance Resource
Publication date:
FAQs on MSRB Registration
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

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Compliance Resource
Publication date:
Presentation on Changes to Rules Relating to New Issue Reporting
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-33

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Compliance Resource
Publication date:
New Online Procedure for Documenting Dealer System Outages
Information for:

Dealers

Rule Number:

Rule G-14

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Compliance Resource
Publication date:
Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

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