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Rule G-7
Last Updated:
08/01/2014
Information Concerning Associated Persons
Rule Summary: Requires dealers to obtain information from their associated personnel concerning their qualifications to engage in municipal securities business and contemplates that this information will be filed with the appropriate regulatory agency.
Rule for:
Dealers, Bank Dealers
Status:
Rule A-18
Last Updated:
No amendment history
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
