Click to see Rules that have recent rulemaking activity or compliance resources:

Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-12 Registration
Dealers, Municipal Advisors
Rule D-14 "Appropriate Regulatory Agency" Dealers, Municipal Advisors, Bank Dealers
Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers, Municipal Advisors

Status:
View rule
Compliance Resource
Steps for Registering as a Municipal Advisor
View Resource
Share
Rule D-14
Last Updated: No amendment history
"Appropriate Regulatory Agency"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
View rule
Share
Print