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Number Name Status Rule Category Regulated Entity
Rule G-44 Supervisory and Compliance Obligations of Municipal Advisors Regulated Entity Administration Municipal Advisors, Municipal Fund Securities
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
Rule G-44
Last Updated: 04/20/2020
Supervisory and Compliance Obligations of Municipal Advisors

Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
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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:
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Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
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