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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-7 Information Concerning Associated Persons
Regulated Entity Administration Dealers, Bank Dealers
Rule G-7
Last Updated: 08/01/2014
Information Concerning Associated Persons

Rule Summary: Requires dealers to obtain information from their associated personnel concerning their qualifications to engage in municipal securities business and contemplates that this information will be filed with the appropriate regulatory agency.

Rule for:

Dealers, Bank Dealers

Status:
Request for Comment
Request for Comment on Gathering and Display of Bank Dealer Associated Persons’ Registration and Qualification Information
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