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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-16 Examination Fees Dealers, Municipal Advisors, Bank Dealers
Rule A-17 Confidentiality of Examination Reports
Rule D-3 "Commission"
Rule A-16
Last Updated: No amendment history
Examination Fees
Rule for:

Dealers, Municipal Advisors, Bank Dealers

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Rule A-17
Last Updated: No amendment history
Confidentiality of Examination Reports
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Rule D-3
Last Updated: No amendment history
"Commission"
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