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Number Name Status Rule Category Regulated Entity
Rule G-48 Transactions with Sophisticated Municipal Market Professionals Fair Practice Dealers, Bank Dealers
Rule D-11 "Associated Persons"
Dealers, Municipal Advisors, Bank Dealers
Rule G-48
Last Updated: 10/05/2021
Transactions with Sophisticated Municipal Market Professionals

Rule Summary: Provides for modified dealer regulatory obligations under other MSRB rules when dealing with sophisticated municipal market professionals.

Rule for:

Dealers, Bank Dealers

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Rule D-11
Last Updated: No amendment history
"Associated Persons"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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