MSRB: Rule by Rule

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Overview

The page provides an index of FFRI Focus Pages as to each of the MSRB Rules. See also the page on Municipal Securities: Document by Document, which provides access to municipal materials organized by document, rather than by Rule. For more overview materials, see also the pages on Broker-Dealers and Markets and Municipal Advisors.

Steven Lofchie

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Fried, Frank, Harris, Shriver & Jacobson LLP

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Partner

Mark Highman

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Fried, Frank, Harris, Shriver & Jacobson LLP

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Counsel

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MSRB Rules G-1 through G-24

MSRB Rule G-1 (Separately Identifiable Bank Department) | Focus Page| Focus Page on Muni Dealer and Muni Advisor Registration Process | Focus Page on Registration Requirement
MSRB Rule G-2 (Standards of Qualifications) | Focus Page
MSRB Rule G-3 (Professional Qualification Requirements) | Focus Page
MSRB Rule G-4 (Statutory Disqualifications) | Focus Page
MSRB Rule G-5 (Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations)
MSRB Rule G-6 (Fidelity Bonding Requirements) | Focus Page
MSRB Rule G-7 (Information concerning Associated Persons) | Focus Page
MSRB Rule G-8 (Books and Records to Be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors) | Focus Page
MSRB Rule G-9 (Preservation of Records) | Focus Page
MSRB Rule G-10 (Delivery of Investor Brochure) | Focus Page
MSRB Rule G-11 (Primary Offering Practices) | Focus Page
MSRB Rule G-12 (Uniform Practice) | Focus Page | Focus Page on Confirmations
MSRB Rule G-13 (Quotations relating to Municipal Securities) | Focus Page
MSRB Rule G-14 (Reports of Sales or Purchases) | Focus Page
MSRB Rule G-15 (Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with respect to Transactions with Customers) | Focus Page
MSRB Rule G-16 (Periodic Compliance Examination) | Focus Page
MSRB Rule G-17 (Conduct of Municipal Securities and Municipal Advisory Activities) | Focus Page | Focus Page on Distribution Procedures
MSRB Rule G-18 (Best Execution) | Focus Page
MSRB Rule G-19 (Suitability of Recommendations and Transactions) | Focus Page
MSRB Rule G-20 (Gifts, Gratuities, Non-Cash Compensation and Expenses of Issuance) |Focus Page on Sales Contests and Non-Cash Compensation | Focus Page on Gifts and Entertainment
MSRB Rule G-21 (Advertising) | Focus Page
MSRB Rule G-22 (Control Relationships)
MSRB Rule G-23 (Activities of Financial Advisors) | Focus Page
MSRB Rule G-24 (Use of Ownership Information Obtained in Fiduciary or Agency Capacity)

MSRB Rules G-25 through G-48

MSRB Rule G-25 (Improper Use of Assets) | Focus Page on Custody | Focus Page on Prohibition on Guarantees
MSRB Rule G-26 (Customer Account Transfers) | Focus Page
MSRB Rule G-27 (Supervision) | Focus Page
MSRB Rule G-28 (Transactions with Employees and Partners of Other Municipal Securities Professionals) | Focus Page
MSRB Rule G-29 (Reserved)
MSRB Rule G-30 (Prices and Commissions) | Focus Page
MSRB Rule G-31 (Reciprocal Dealings with Municipal Securities Investment Companies) | Focus Page
MSRB Rule G-32 (Disclosures in connection with Primary Offerings) | Focus Page | EMMA
MSRB Rule G-33 (Calculations) | Focus Page
MSRB Rule G-34 (CUSIP Numbers, New Issue, and Market Information Requirements) | Focus Page
MSRB Rule G-35 (Arbitration)| Search on Municipal Securities and Arbitration Filters
MSRB Rule G-36 (Discretionary Transactions in Customer Accounts | Focus Page
MSRB Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business) | Focus Page
MSRB Rule G-38 (Solicitation of Municipal Securities Business) | Focus Page
MSRB Rule G-39 (Telemarketing) | Focus Page
MSRB Rule G-40 (Advertising by Municipal Advisors) | Focus Page
MSRB Rule G-41 (Anti-Money Laundering Compliance Program) | Focus Page
MSRB Rule G-42 (Duties of Non-Solicitor Municipal Advisors) | Focus Page
MSRB Rule G-43 (Broker's Brokers) | Search on Municipal Securities and Broker's Brokers
MSRB Rule G-44 (Supervisory and Compliance Obligations of Municipal Advisors) | Focus Page
MSRB Rule G-45 (Reporting of Information on Municipal Fund Securities) | Focus Page on Municipal Fund Securities
MSRB Rule G-47 (Time of Trade Disclosure) | Focus Page | Focus Page on EMMA
MSRB Rule G-48 (Transactions with Sophisticated Municipal Market Professionals) | Focus Page

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Overview

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MSRB Rules G-1 through G-24

MSRB Rules G-25 through G-48

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