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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-9 Preservation of Records Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers
Rule G-30 Prices and Commissions Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule D-10 "Discretionary Account" Dealers, Bank Dealers
Rule G-9
Last Updated: 06/25/2020
Preservation of Records

Rule Summary: Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule G-30
Last Updated: 11/17/2016
Prices and Commissions

Rule Summary: Requires dealers to effect transactions in municipal securities with customers at fair and reasonable prices, if acting as principal, and to make reasonable efforts to obtain fair and reasonable prices for customers and to charge fair and reasonable commissions, if acting as agent.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Rule D-10
Last Updated: No amendment history
"Discretionary Account"
Rule for:

Dealers, Bank Dealers

Status:
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