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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-33 Calculations Uniform Practice Dealers, Bank Dealers
Rule G-41 Anti-Money Laundering Compliance Program Dealers, Bank Dealers
Rule A-3 Board Membership: Composition, Elections, Removal, Compensation Dealers, Municipal Advisors, Bank Dealers
Rule G-33
Last Updated: 03/08/2016
Calculations

Rule Summary: Prescribes standard formulas for the computation of accrued interest, dollar price and yield; sets standards for accuracy; and establishes day-counting methods.

Rule for:

Dealers, Bank Dealers

Status:
Rule G-41
Last Updated: 04/22/2019
Anti-Money Laundering Compliance Program

Rule Summary: Requires a dealer to establish and implement an anti-money laundering program that complies with the rules and regulations governing anti-money laundering programs of either its registered securities association or its appropriate banking regulator.

Rule for:

Dealers, Bank Dealers

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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