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

Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule D-11 "Associated Persons"
Dealers, Municipal Advisors, Bank Dealers
Rule D-12 "Municipal Fund Security" Municipal Fund Securities
Rule D-11
Last Updated: No amendment history
"Associated Persons"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule D-12
Last Updated: No amendment history
"Municipal Fund Security"
Rule for:

Municipal Fund Securities

Status:
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