Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-18
Last Updated:
09/17/2015
Best Execution
Rule Summary: Requires dealers to use reasonable diligence to ascertain the best market for the subject security and buy or sell in that market so that the resultant price to the customer is as favorable as possible under prevailing market conditions.
Rule for:
Dealers, Bank Dealers
Status:
Rule G-35
Last Updated:
04/22/2019
Arbitration
Rule Summary: Subjects bank dealers to arbitration program.
Rule for:
Dealers, Bank Dealers
Status:
Rule D-13
Last Updated:
No amendment history
