Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-19
Last Updated:
06/25/2020
Suitability of Recommendations and Transactions
Rule Summary: Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
Rule A-12
Last Updated:
08/09/2022
