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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-40 Advertising by Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
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 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
View Notice
Notice (01/17/2025)
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
View Notice
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