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Number Name Status Rule Category Regulated Entity
Rule G-16 Periodic Compliance Examination
Regulated Entity Administration Dealers, Bank Dealers
Rule A-6 Committees of the Board
Rule D-10 "Discretionary Account" Dealers, Bank Dealers
Rule G-16
Last Updated: 12/09/2020
Periodic Compliance Examination

Rule Summary: Sets forth minimum scope and frequency of periodic compliance examinations of dealers by a registered securities association and bank regulators.

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Dealers, Bank Dealers

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Rule A-6
Last Updated: No amendment history
Committees of the Board
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Rule D-10
Last Updated: No amendment history
"Discretionary Account"
Rule for:

Dealers, Bank Dealers

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