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Compliance Resource
Publication date:
Preparing to Submit MSRB Form A-12
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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Compliance Resource
Publication date:
Considerations for Assessing Written Supervisory Procedures for Municipal Advisory Services
Information for:

Municipal Advisors

Rule Number:

Rule G-42, Rule G-44

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Compliance Resource
Publication date:
Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing
Information for:

Dealers

Rule Number:

Rule G-17, Rule G-27

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Compliance Resource
Publication date:
Compliance Calendar

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

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Annual Affirmation Guide
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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