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Number Name Status Rule Category Regulated Entity
Rule G-19 Suitability of Recommendations and Transactions Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-19
Last Updated: 06/25/2020
Suitability of Recommendations and Transactions

Rule Summary: Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status: