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Rule A-1
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Rules of the Board
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Rule A-2
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Powers of the Board
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Rule A-3
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Membership on the Board
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Rule A-4
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Meetings of the Board
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Rule A-5
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Officers and Employees of the Board
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Rule A-6
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Committees of the Board
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Rule A-7
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Assessments
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Rule A-8
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Rulemaking Procedures
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Rule A-9
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Fiscal Year
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Rule A-10
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Independent Audit
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Rule A-11
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**RESERVED**
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Rule A-12
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Initial Fee
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Dealer, Municipal Advisor
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Rule A-13
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Underwriting and Transaction Assessments for Brokers, Dealers and Municipal Securities Dealers
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Dealer
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Rule A-14
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Annual Fee
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Dealer, Municipal Advisor
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-
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Rule A-15
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Notification to Board of Change in Status or Change of Name or Address
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Dealer, Municipal Advisor
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-
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Rule A-16
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Examination Fees
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Dealer, Dealer Financial Advisor
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Rule A-17
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Confidentiality of Examination Reports
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Rule D-1
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General
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Rule D-2
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"Act"
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Rule D-3
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"Commission"
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Rule D-4
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"Board"
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Rule D-5
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"Member"
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Rule D-6
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"Whole Board"
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Rule D-7
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"Proposed Rules and Rules of the Board"
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Rule D-8
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"Bank Dealer"
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Dealer
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Rule D-9
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"Customer"
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Dealer
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Rule D-10
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"Discretionary Account"
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Dealer
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Rule D-11
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"Associated Persons"
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Dealer, Municipal Advisor
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Rule D-12
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"Municipal Fund Security"
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Rule D-13
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"Municipal Advisory Activities"
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Dealer Financial Advisor, Municipal Advisor
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Rule D-14
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"Appropriate Regulatory Agency"
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Dealer, Municipal Advisor
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Rule G-1
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Separately Identifiable Department or Division of a Bank
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Dealer, Dealer Financial Advisor
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Rule G-2
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Standards of Professional Qualification
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Dealer
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Rule G-3
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Classification of Principals and Representatives; Numerical Requirements; Testing; Continuing Education Requirements
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Dealer, Dealer Financial Advisor
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Rule G-4
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Statutory Disqualifications
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Dealer
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Rule G-5
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Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations
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Dealer, Municipal Advisor
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Rule G-6
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Fidelity Bonding Requirements
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Dealer
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Rule G-7
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Information Concerning Associated Persons
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Dealer
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Rule G-8
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Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers
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Dealer
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Upcoming Change
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Rule G-9
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Preservation of Records
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Dealer
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Rule G-10
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Delivery of Investor Brochure
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Dealer
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Rule G-11
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Primary Offering Practices
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Dealer
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Rule G-12
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Uniform Practice
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Dealer
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Rule G-13
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Quotations Relating to Municipal Securities
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Dealer
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Rule G-14
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Reports of Sales or Purchases
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Dealer
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Rule G-15
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Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers
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Dealer
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Rule G-16
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Periodic Compliance Examination
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Dealer
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Rule G-17
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Conduct of Municipal Securities and Municipal Advisory Activities
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Dealer, Municipal Advisor
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Rule G-18
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Execution of Transactions
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Dealer
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Rule G-19
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Suitability of Recommendations and Transactions; Discretionary Accounts
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Dealer
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Rule G-20
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Gifts, Gratuities and Non-Cash Compensation
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Dealer
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Rule G-21
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Advertising
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Dealer
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Rule G-22
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Control Relationships
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Dealer
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Rule G-23
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Activities of Financial Advisors
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Dealer, Dealer Financial Advisor
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Rule G-24
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Use of Ownership Information Obtained in Fiduciary or Agency Capacity
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Dealer, Dealer Financial Advisor
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Rule G-25
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Improper Use of Assets
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Dealer
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Rule G-26
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Customer Account Transfers
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Dealer
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Rule G-27
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Supervision
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Dealer, Dealer Financial Advisor
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Rule G-28
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Transactions with Employees and Partners of Other Municipal Securities Professionals
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Dealer
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Rule G-29
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Availability of Board Rules
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Dealer
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Rule G-30
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Prices and Commissions
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Dealer
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Rule G-31
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Reciprocal Dealings with Municipal Securities Investment Companies
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Dealer
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Rule G-32
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Disclosures In Connection With Primary Offerings
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Dealer, Dealer Financial Advisor
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Rule G-33
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Calculations
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Dealer
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Rule G-34
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CUSIP Numbers, New Issue, and Market Information Requirements
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Dealer, Dealer Financial Advisor
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Rule G-35
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Arbitration
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Dealer
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Rule G-36
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Reserved
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Rule G-37
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Political Contributions and Prohibitions on Municipal Securities Business
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Dealer, Dealer Financial Advisor
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Upcoming Change
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Rule G-38
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Solicitation of Municipal Securities Business
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Dealer, Dealer Financial Advisor
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Rule G-39
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Telemarketing
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Dealer
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Rule G-40
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Electronic Mail Contacts
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Dealer, Municipal Advisor
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Rule G-41
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Anti-Money Laundering Compliance Program
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Dealer
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Rule G-42
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Reserved
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Rule G-43
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Broker’s Brokers
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Dealer
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