Click to see Rules that have recent rulemaking activity or compliance resources:
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
SEC Filing
Proposed Rule Change to Amend MSRB Rule G-14 to Shorten the Timeframe for Reporting Trades in Municipal Securities to the MSRB
Supervisory and Compliance Obligations of Municipal Advisors
Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.
Municipal Advisors, Municipal Fund Securities
Request for Comment
Request for Comment on Transaction Reporting Obligations under MSRB Rule G-14