Regulatory Notice: MSRB Notice 2018-18 Municipal Advisory General Compliance Advisory

Written By Brandon Klerk

The Municipal Securities Rulemaking Board (MSRB) disseminated a Compliance Advisory today as a compliance resource to assist municipal advisors in their continuing compliance efforts. The Compliance Advisory addresses the rules and regulations noted below

  • MSRB Rule G-44: Supervisory and Compliance Obligations of Municipal Advisors

  • MSRB Rule G-20: Gifts, Gratuities and Non-Cash Compensation

  • MSRB Rule G-37: Political Contributions and Prohibitions on Municipal Advisory Business

  • MSRB Rule G-17: Conduct of Municipal Advisory Activities

  • MSRB Rules G-2 and G-3: Standards of Professional Qualification and Professional Qualification Requirements

  • MSRB Rule G-10: Municipal Advisory Client Education and Protection

  • MSRB Rules G-8 and G-9: Books and Records to be Made by Municipal Advisors and Preservation of Record

MSRB Notice 2018-18 – https://www.msrb.org/~/media/Files/Regulatory-Notices/Announcements/2018-18.ashx

Brandon Klerk https://www.halyardcompliance.com
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