Click to see Rules that have recent rulemaking activity or compliance resources:

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-22 Control Relationships Fair Practice Dealers, Bank Dealers
Rule G-44 Supervisory and Compliance Obligations of Municipal Advisors Regulated Entity Administration Municipal Advisors, Municipal Fund Securities
Rule A-8 Rulemaking Procedures Dealers
Rule G-22
Last Updated: No amendment history
Control Relationships

Rule Summary: Prohibits discretionary account transactions and effecting purchase and sale transactions of municipal securities by dealers, where the dealer has a control relationship with respect to the security, absent disclosure to the customer of such relationship.

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-8
Last Updated: No amendment history
Rulemaking Procedures
Rule for:

Dealers

Status:
Print