Rule D-14
"Appropriate Regulatory Agency"
"Appropriate Regulatory Agency"
With respect to a broker, dealer, or municipal securities dealer, "appropriate regulatory agency" has the meaning set forth in Section 3(a)(34) of the Act. With respect to municipal advisors, "appropriate regulatory agency" means the Commission.
Rule D-14 Amendment History (since 2003)
Release No. 34-63308 (November 12, 2010), 75 FR 70335 (November 17, 2010); MSRB Notice 2010-47 (November 1, 2010)