Click to see Rules that have recent rulemaking activity or compliance resources:
Preservation of Records
Rule Summary: Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.
Dealers, Municipal Advisors, Bank Dealers
Reports of Sales or Purchases
Rule Summary: Prohibits dealers from distributing or publishing reports of purchases or sales of municipal securities unless the report is made with knowledge or reason to believe that the transaction was effected, and without any reason to believe that the reported transaction is fictitious, or in furtherance of any fraudulent, deceptive or manipulative purpose, and establishes transaction reporting requirements and procedures.
Dealers, Bank Dealers
Request for Comment
Request for Comment on Transaction Reporting Obligations under MSRB Rule G-14