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

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-26 Customer Account Transfers Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-40 Advertising by Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule A-8 Rulemaking Procedures Dealers
Rule G-26
Last Updated: 04/22/2019
Customer Account Transfers

Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Rule G-40
Last Updated: 07/03/2023
Advertising by Municipal Advisors

Rule Summary: Prohibits municipal advisors from publishing false or misleading advertisements concerning the services of the municipal advisor or the engagement of a municipal advisory client or concerning the facilities, services or skills of any municipal advisor, establishes specific content standards for advertisements and requires a municipal advisor principal to approve, in writing, advertisement prior to first use.

Rule for:

Municipal Advisors, Municipal Fund Securities

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

Dealers

Status:
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