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:
Summary Table of New Fields for Amended Form G-32
Information for:

Bank Dealers, Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Frequently Asked Questions About Form G-32
Information for:

Dealers, Investors

Rule Number:

Rule G-32

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Compliance Resource
Publication date:
Understanding the Municipal Advisor Principal Qualification Examination
Information for:

Municipal Advisors

Rule Number:

Rule G-3

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