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Number Name Status Rule Category Regulated Entity
Rule G-16 Periodic Compliance Examination
Regulated Entity Administration Dealers, Bank Dealers
Rule A-2 Powers of the Board
Rule D-6 "Whole Board"
Rule G-16
Last Updated: 12/09/2020
Periodic Compliance Examination

Rule Summary: Sets forth minimum scope and frequency of periodic compliance examinations of dealers by a registered securities association and bank regulators.

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Dealers, Bank Dealers

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Rule A-2
Last Updated: No amendment history
Powers of the Board
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Rule D-6
Last Updated: No amendment history
"Whole Board"
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