Click to see Rules that have recent rulemaking activity or compliance resources:
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 G-39
Last Updated:
05/24/2013
Telemarketing
Rule Summary: Establishes telemarketing requirements with respect to the municipal securities activities of dealers.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
Rule D-10
Last Updated:
No amendment history
