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Number Name Status Rule Category Regulated Entity
Rule G-38 Solicitation of Municipal Securities Business Dealers, Bank Dealers
Rule A-12 Registration
Dealers, Municipal Advisors
Rule G-38
Last Updated: 04/22/2019
Solicitation of Municipal Securities Business

Rule Summary: Prohibits dealers from paying persons who are not affiliated with the dealers for a solicitation of municipal securities business on their behalf.

Rule for:

Dealers, Bank Dealers

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Rule A-12
Last Updated: 08/09/2022
Registration
Rule for:

Dealers, Municipal Advisors

Status:
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Compliance Resource
Steps for Registering as a Municipal Advisor
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