Click to see Rules that have recent rulemaking activity or compliance resources:

Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-21 Advertising by Brokers, Dealers or Municipal Securities Dealers Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
Rule G-21
Last Updated: 06/28/2019
Advertising by Brokers, Dealers or Municipal Securities Dealers

Rule Summary: Prohibits dealers from publishing false or misleading advertisements relating to municipal securities or concerning the facilities, services or skills of any dealer; establishes specific requirements for advertisements of new issues and municipal fund securities; and requires a municipal securities or general securities principal to approve in writing advertisements prior to first use.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

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
View Notice
Print