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Compliance Resource
Publication date:
Resources Related to 2019 Municipal Securities Examination Priorities
Information for:

Bank Dealers, Dealers, General Public, Investors, Issuers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule G-8, Rule G-15, Rule G-17, Rule G-19, Rule G-21, Rule G-27, Rule G-30, Rule G-34, Rule G-40, Rule G-42, Rule A-12

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Notice 2005-52 - Informational Notice
Publication date:
SEC Approves Amendments to Rule G-20, on Gifts and Gratuities, and Rule G-8, on Books and Records
Rule Number:

Rule G-8, Rule G-20

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Notice 2005-21 - Informational Notice
Publication date:
Amendment No. 1 Filed to Proposal to Add Requirements for Predispute Arbitration Agreements with Customers
Rule Number:

Rule G-8

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