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