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Rule G-27
Last Updated: 03/09/2022
Supervision

Rule Summary: Outlines requirements for a dealer’s supervision of personnel engaged in activities involving municipal securities activities.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
New SEC Filing
Proposed Rule Change to Amend MSRB Rule G-27, on Supervision, to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2023
View SEC Filing
/2022-11/2022-12.pdf
New Notice
MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief
View Notice
New Compliance Resource
Underwriter Considerations for Assessing Written Supervisory Procedures Regarding New Issue Pricing
View Resource