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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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Notice 2017-10 - Approval Notice
Publication date:
SEC Approves Continuing Education Requirements for Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule G-3, Rule G-8

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Notice 2017-08 - Informational Notice
Publication date:
Application of MSRB Rules to Solicitor Municipal Advisors
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-5, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-44, Rule A-11, Rule A-12, Rule A-16

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Notice 2017-03 - Informational Notice
Publication date:
SEC Approves Extension of MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and the Modernization of Those Rules
Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10, Rule G-32

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