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Rule G-3
Last Updated:
10/12/2023
Professional Qualification Requirements
Rule Summary: Establishes professional qualification and continuing education requirements for, and specifies the number of supervisory personnel who must be associated with, dealers and municipal advisors.
Rule for:
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Status:
Compliance Resource (11/19/2025)
Steps for Registering as a Municipal Advisor
Rule A-7
Last Updated:
No amendment history
Rule D-7
Last Updated:
No amendment history
