Following the Rules

In this section

• Regulatory Framework
  • Master the MSRB: Key Rules Every Municipal Securities Pro Needs
    Unlock the essentials of MSRB rules crucial for issuance, trading, and advertising municipal bonds. Boost your chances of passing the Series 7 exam.
  • Mastering Compliance Requirements in Securities
    Learn key compliance requirements for broker-dealers including record-keeping and advertising standards for municipal securities.
• FINRA Series 7: Confirmations Rules and Requirements
  Learn about trade confirmations, essential components, and timely delivery according to MSRB Rule G-15 for the Series 7 exam.
• Master Advertising Guidelines & Records for Securities
  Learn essential advertising guidelines and record-keeping requirements for municipal fund securities, including 529 plans, ensuring compliance.
• Mastering Commissions: Fair Practices & Rules
  Learn about setting fair commissions, factors influencing rates, and prohibited practices to ensure compliance in financial services.
• MSRB Specific Rules
  • Mastering FINRA Series 7: Books and Records Essentials
    Explore comprehensive record-keeping and retention policies under MSRB Rule G-8 and G-9 for municipal securities transactions.
  • Mastering Rule G-11: Navigating Primary Offering Practices
    Understand the nuances of MSRB Rule G-11 with a focus on order allocation systems and priority conditions in underwriting syndicates.
  • Mastering Rule G-12: Uniform Practices for Securities Transactions
    Understand MSRB Rule G-12's standardized transaction handling, settlement dates, delivery requirements, and managing mutilated certificates.
  • Optimize Your Mastery: Rule G-13 on Genuine Municipal Bond Quotes
    Master Rule G-13 by learning to provide bona fide municipal bond quotations that accurately reflect securities’ terms in securities trading.
  • Understanding Rule G-17 for Ethical Conduct in Securities
    Explore Rule G-17 and its importance in ensuring ethical conduct in municipal securities, focusing on fair dealing and professional standards.
  • Rule G-19: Optimize Your Municipal Bond Recommendations
    Learn Rule G-19 to ensure municipal bond recommendations align with clients' profiles, focusing on financial situations and risk tolerance.
  • Navigating Rule G-21: Key Compliance in Municipal Securities Ads
    Understand FINRA Rule G-21, managing compliance in municipal securities advertising, and exemptions to ensure adherence to regulatory requirements.
  • Master Rule G-27 Supervision: A Guide for Series 7 Success
    Learn how to master Rule G-27 on supervision for the Series 7 exam covering principal designations and supervisory procedures.
  • Understanding Rule G-28: Navigating Transactions for Municipal Professionals
    Explore Rule G-28's requirements for employee transactions, focusing on account notifications and duplicate confirmations for informed compliance.
  • Understand Rule G-30 for Fair Pricing and Commissions in Transactions
    Explore Rule G-30's guidelines on fair pricing and commissions, ensuring fairness and best prices in securities transactions.
  • Master Rule G-32: Essential Disclosures in Primary Offerings
    Understand Rule G-32 disclosures for new municipal securities, highlighting official statements and underwriting spread requirements.
  • Navigate Rule G-34: CUSIP Numbers & Market Information
    Uncover the essentials of Rule G-34, focusing on CUSIP numbers, new issues, and market information requirements in bond offerings.
  • Rule G-38 Solicitation: Essential Guide & Best Practices
    Understand Rule G-38's implications, prohibitions, and exceptions on municipal securities business for compliance and success.