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Rule G-1
Last Updated: 02/26/2015
Separately Identifiable Department or Division of a Bank

Rule Summary: Defines the term “separately identifiable department or division of a bank” and sets forth bank activities that constitute dealer activities.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule G-6
Last Updated: 06/15/1999
Fidelity Bonding Requirements

Rule Summary: Requires dealers that are members of a registered securities association to meet the fidelity bonding requirements set by the association, as a prerequisite to qualification for purposes of MSRB Rule G-2.

Rule for:

Dealers

Status:
Rule G-7
Last Updated: 08/01/2014
Information Concerning Associated Persons

Rule Summary: Requires dealers to obtain information from their associated personnel concerning their qualifications to engage in municipal securities business and contemplates that this information will be filed with the appropriate regulatory agency.

Rule for:

Dealers, Bank Dealers

Status:
Rule G-8
Last Updated: 03/01/2024
Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors

Rule Summary: Requires dealers and municipal advisors to make and keep current certain specified records.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
SEC Filing
Proposed Rule Change to Amend MSRB Rule G-3 to Create an Exemption for Municipal Advisor Representatives from Requalification by Examination and Remove Waiver Provisions and to Amend MSRB Rule G-8 to Establish Related Books and Records Requirements [Refiled to make technical changes, original filed on July 17, 2023]
View SEC Filing
Notice
SEC Approves Amended MSRB Rule G-3 Creating an Exemption for Municipal Advisor Representatives from Requalification by Examination and Related Amendments to MSRB Rule G-8
View Notice
Notice
SEC Approves New MSRB Rule G-46 on Duties of Solicitor Municipal Advisors and Related Amendments to MSRB Rule G-8
View Notice
Rule G-9
Last Updated: 06/25/2020
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.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule G-16
Last Updated: 12/09/2020
Periodic Compliance Examination

Rule Summary: Sets forth minimum scope and frequency of periodic compliance examinations of dealers by a registered securities association and bank regulators.

Rule for:

Dealers, Bank Dealers

Status:
SEC Filing
Proposed Rule Change to Amend MSRB Rule G-27 to Further Extend the Current Regulatory Relief for Remote Office Inspections through June 30, 2024 and Amend MSRB Rule G-16 to Delete Temporary Relief for the Initiation of Periodic Compliance Examinations of Dealers by the Examining Authorities
View SEC Filing
Notice
MSRB Provides Additional Regulatory Relief by Further Extending the Temporary Timeframe for Remote Office Inspections and Files Amendments to Remove Expired Relief Under Rule G-16
View Notice
Rule G-44
Last Updated: 04/20/2020
Supervisory and Compliance Obligations of Municipal Advisors

Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.

Rule for:

Municipal Advisors, Municipal Fund Securities

Status: