Click to see Rules that have recent rulemaking activity or compliance resources:
Customer Account Transfers
Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.
Dealers, Bank Dealers, Municipal Fund Securities
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.
Municipal Advisors, Municipal Fund Securities
Board Membership: Composition, Elections, Removal, Compensation
Dealers, Municipal Advisors, Bank Dealers