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Are firms that sell Municipal Fund Securities subject to the rules of the MSRB?

April 26, 2017firms fund msrb municipal rules securities sell Subject

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Are firms that sell Municipal Fund Securities subject to the rules of the MSRB?

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Yes. The MSRB rules apply to firms selling these municipal products. Among other things, firms are required to comply with MSRB Rules A-12 and A-14 by notifying the MSRB of their activities and paying the appropriate fees, which include an initial fee and annual fees.