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

Rule Approval

The SEC recently approved amendments to Rule G‑17's August 2, 2012 interpretive guidance.
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.