Rule G-17 Conduct of Municipal Securities and Municipal Advisory Activities

Upcoming Change

Amendments to Rule G-17’s 2012 interpretive guidance have a compliance date of November 30, 2020. View the notice. View the approval notice.

Conduct of Municipal Securities and Municipal Advisory Activities

Summary: Requires dealers and municipal advisors to deal fairly with all persons and not to engage in any deceptive, dishonest or unfair practice.

In the conduct of its municipal securities or municipal advisory activities, each broker, dealer, municipal securities dealer, and municipal advisor shall deal fairly with all persons and shall not engage in any deceptive, dishonest, or unfair practice.