Click to see Rules that have recent rulemaking activity or compliance resources:
Advertising by Municipal Advisors
Rule Summary: 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.
Municipal Advisors, Municipal Fund Securities
Compliance Resource
FAQs on Use of Municipal Advisory Client Lists and Case Studies
Compliance Resource
Application of the Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40
Compliance Resource
Assessing Supervision of Municipal Advisor Advertising Regulations
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