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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-11 Primary Offering Practices Fair Practice Dealers, Bank Dealers
Rule D-13 "Municipal Advisory Activities" Municipal Advisors
Rule G-11
Last Updated: 06/27/2019
Primary Offering Practices

Rule Summary: Establishes terms and conditions for sales by dealers of new issues of municipal securities in primary offerings, including provisions on priority of customer orders.

Rule for:

Dealers, Bank Dealers

Status:
Rule D-13
Last Updated: No amendment history
"Municipal Advisory Activities"
Rule for:

Municipal Advisors

Status:
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