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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-35 Arbitration Dealers, Bank Dealers
Rule A-12 Registration
Dealers, Municipal Advisors
Rule G-35
Last Updated: 04/22/2019
Arbitration

Rule Summary: Subjects bank dealers to arbitration program.

Rule for:

Dealers, Bank Dealers

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

Dealers, Municipal Advisors

Status:
Compliance Resource
Steps for Registering as a Municipal Advisor
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