Rules and Forms

Administrative Rules

A-1 Rules of the Board

A-2 Powers of the Board

A-3 Membership on the Board

A-4 Meetings of the Board

A-5 Officers and employees of the Board

A-6 Committees of the Board

A-7 Assessments

A-8 Rulemaking procedures

A-9 Fiscal year

A-10 Independent audit

A-11 **Reserved**

A-12 Initial fee

A-13 Underwriting and transaction assessments for brokers, dealers and municipal securities dealers

A-14 Annual fee

A-15 Notification to Board of termination of municipal securities activities and change of name or address

A-16 **Reserved**

A-17 Confidentiality of examination reports

Definitional Rules

D-1 General

D-2 "Act"

D-3 "Commission"

D-4 "Board"

D-5 "Member"

D-6 "Whole Board"

D-7 "Proposed rules and rules of the Board"

D-8 "Bank dealer"

D-9 "Customer"

D-10 "Discretionary account"

D-11 "Associated persons"

D-12 "Municipal fund security"

General Rules

G-1 Separately identifiable department or division of a bank

G-2 Standards of professional qualification

G-3 Classification of principals and representatives; numerical requirements; testing; continuing education requirements

G-4 Statutory disqualifications

G-5 Disciplinary actions by appropriate regulatory agencies; remedial notices by registered securities associations

G-6 Fidelity bonding requirements 

G-7 Information concerning associated persons

G-8 Books and records to be made by brokers, dealers and municipal securities dealers

G-9 Preservation of records

G-10 Delivery of investor brochure

G-11 New Issue Syndicate Practices

G-12 Uniform practice

G-13 Quotations relating to municipal securities

G-14 Reports of sales or purchases

G-15 Confirmation, clearance, settlement and other uniform practice requirements with respect to transactions with customers

G-16 Periodic compliance examination

G-17 Conduct of municipal securities activities

G-18 Execution of transactions

G-19 Suitability of recommendations and transactions; discretionary accounts

G-20 Gifts, gratuities and non-cash compensation

G-21 Advertising

G-22 Control relationships

G-23 Activities of financial advisors

G-24 Use of ownership information obtained in fiduciary or agency capacity

G-25 Improper use of assets

G-26 Customer account transfers

G-27 Supervision  

G-28 Transactions with employees and partners of other municipal securities professionals

G-29 Availability of Board rules

G-30 Prices and commissions

G-31 Reciprocal dealings with municipal securities investment companies

G-32 Disclosures in connection with new issues

G-33 Calculations

G-34 CUSIP numbers and new issue requirements

G-35 Arbitration

G-36 Delivery of official statements, advance refunding documents and Forms G-36(OS) and G-36(ARD) to Board or its designee

G-37 Political contributions and prohibitions on municipal securities business

G-38 Solicitation of municipal securities business

G-39 Telemarketing

G-40 Electronic mail contacts

G-41 Anti-money laundering compliance program

 

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