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Compliance Resource
Publication date:
Preparing to Submit MSRB Form A-12
Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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Compliance Resource
Publication date:
G-32 Form Updates
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Annual Affirmation Guide
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-12

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Compliance Resource
Publication date:
Summary Table of New Fields for Amended Form G-32
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Frequently Asked Questions About Form G-32
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
LIBOR Transition Information
Information for:

Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-17, Rule G-42

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Compliance Resource
Publication date:
Resources Related to 2019 Municipal Securities Examination Priorities
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

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Compliance Resource
Publication date:
Compliance Advisory for Municipal Advisors
Information for:

General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-9, Rule G-10, Rule G-17, Rule G-20, Rule G-37, Rule G-42, Rule G-44, Rule A-12

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Compliance Resource
Publication date:
FAQs on MSRB Rules on Investor and Municipal Advisory Client Education and Protection
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8, Rule G-9, Rule G-10

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Compliance Resource
Publication date:
MSRB Rule G-8 Customer and Municipal Advisory Client Complaint Product and Problem Codes Guide
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-8

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Compliance Resource
Publication date:
MSRB Form G-32
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers
Information for:

Dealers, General Public, Investors, Issuers

Rule Number:

Rule G-11, Rule G-15, Rule G-18, Rule G-19, Rule G-23, Rule G-27, Rule G-30

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Compliance Resource
Publication date:
MSRB Registration Manual
Information for:

Dealers, Municipal Advisors, Municipal Fund Securities

Rule Number:

Rule A-11, Rule A-12, Rule A-13

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Compliance Resource
Publication date:
Best Execution: The Investor's Perspective
Information for:

Dealers, Investors

Rule Number:

Rule G-18

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Compliance Resource
Publication date:
Information for Municipal Securities Investors
Information for:

Dealers, General Public, Investors

Rule Number:

Rule G-10

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Compliance Resource
Publication date:
Form G-45 Manual and Specifications
Information for:

Bank Dealers, Dealers, Municipal Fund Securities

Rule Number:

Rule G-45

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