Rules G-6/7

 

Rule G-6

Background

        Rule G-6 prescribes fidelity bonding requirements for municipal securities brokers and non–bank municipal securities dealers.

 

Rule G-7

Background

        Rule G-7 prescribes certain types of information that associated persons are required to submit to the municipal securities brokers and municipal securities dealer with which they are associated. This information relates generally to such associated persons' employment history and professional background, including any disciplinary sanctions and the bases claimed, if any, for exemption from the Board’s examination requirements for municipal securities principals, financial and operations principals, and municipal securities representatives.

 

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