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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-38 Solicitation of Municipal Securities Business Dealers, Bank Dealers
Rule A-7 Assessments Dealers, Municipal Advisors, Bank Dealers
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

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Rule A-7
Last Updated: No amendment history
Assessments
Rule for:

Dealers, Municipal Advisors, Bank Dealers

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