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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-40 Advertising by Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule G-42 Duties of Non-Solicitor Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule A-14 Rule A-14-Reserved
Rule G-40
Last Updated: 07/03/2023
Advertising by Municipal Advisors

Rule Summary: Prohibits municipal advisors from publishing false or misleading advertisements concerning the services of the municipal advisor or the engagement of a municipal advisory client or concerning the facilities, services or skills of any municipal advisor, establishes specific content standards for advertisements and requires a municipal advisor principal to approve, in writing, advertisement prior to first use.

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
Rule G-42
Last Updated: 05/07/2018
Duties of Non-Solicitor Municipal Advisors

Rule Summary: Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
Rule A-14
Last Updated: No amendment history
Rule A-14-Reserved
Status:
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