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Rule G-4
Last Updated:
08/07/1991
Statutory Disqualifications
Rule Summary: Prohibits dealers and their associated persons who have been the subject of certain disciplinary actions from qualifying under the MSRB’s professional qualification rules.
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 (01/16/2026)
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Testing
Notice (01/17/2025)
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
