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

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-15 Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-42 Duties of Non-Solicitor Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule A-3 Board Membership: Composition, Elections, Removal, Compensation Dealers, Municipal Advisors, Bank Dealers
Rule G-15
Last Updated: 05/28/2024
Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers

Rule Summary: Requires dealers to provide customers with written confirmations of transactions, containing specified information, including mark-ups and mark-downs, and prescribes certain uniform practice procedures for dealers that transact municipal securities business with customers.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Rule G-42
Last Updated: 05/07/2018
Duties of Non-Solicitor Municipal Advisors

Rule Summary: Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
Rule A-3
Last Updated: No amendment history
Board Membership: Composition, Elections, Removal, Compensation
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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