Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-38
Last Updated:
04/22/2019
Solicitation of Municipal Securities Business
Rule Summary: Prohibits dealers from paying persons who are not affiliated with the dealers for a solicitation of municipal securities business on their behalf.
Rule for:
Dealers, Bank Dealers
Status:
Rule G-44
Last Updated:
04/20/2020
Supervisory and Compliance Obligations of Municipal Advisors
Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.
Rule for:
Municipal Advisors, Municipal Fund Securities
Status:
Rule A-5
Last Updated:
No amendment history
