Select regulatory documents by category:

Regulatory Document Type

Compliance Resource
Publication date:
Steps for Registering as a Municipal Advisor
Information for:

Dealers, Municipal Advisors

Rule Number:

Rule G-2, Rule G-3, Rule A-12

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Compliance Resource
Publication date:
FAQs on the Series 54 Examination 
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3

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Compliance Resource
Publication date:
FAQs on the Series 50 Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-2, Rule G-3

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Compliance Resource
Publication date:
Presentation on Changes to Rules Relating to New Issue Reporting
Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-33

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