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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-8 Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-24 Use of Ownership Information Obtained in Fiduciary or Agency Capacity Fair Practice Dealers, Bank Dealers
Rule A-5 Officers and Employees of the Board
Rule G-8
Last Updated: 03/01/2024
Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors

Rule Summary: Requires dealers and municipal advisors to make and keep current certain specified records.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

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Rule G-24
Last Updated: No amendment history
Use of Ownership Information Obtained in Fiduciary or Agency Capacity

Rule Summary: Prohibits dealers from using non-public information obtained in the course of certain fiduciary or agency capacities concerning the ownership of securities in furtherance of their business activities or for financial gain.

Rule for:

Dealers, Bank Dealers

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Rule A-5
Last Updated: No amendment history
Officers and Employees of the Board
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