X

SEC Approves New MSRB Gifts Rules for Municipal Advisors (MSRB Reg. Notice 2015-21)

The SEC approved MSRB amendments extending the restrictions regarding gift-giving and related recordkeeping requirements that currently are applicable to brokers, dealers, and municipal securities dealers to municipal advisors.

The amendments apply to MSRB Rules G-20 ("Gifts, Gratuities and Non-Cash Compensation") and G-8 ("Books and Records to Be Made by Brokers, Dealers and Municipal Securities Dealers").

Primary Sources

  1. MSRB Regulatory Notice 2015-21
  2. MSRB Press Release

Related Articles

Premium Content

Available only to Premium subscribers.

 

Join Premium

US Regulatory Intelligence combines regulatory and enforcement news, analysis, and practical work tools on an easy-to-use digital platform.

Request a Free Trial

Tags

Regulated Activities
Employee Matters Recordkeeping Sales
Sub-Activity
Employee Compensation, Gifts and Entertainment
Regulated Entities
Broker-Dealers Muni Advisors
Regulated Products
Municipal Securities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
MSRB