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-42 Duties of Non-Solicitor Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule D-1 General
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-42
Last Updated: 05/07/2018
Duties of Non-Solicitor Municipal Advisors

Rule Summary: Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
Rule D-1
Last Updated: No amendment history
General
Status:
Print