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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-26 Customer Account Transfers Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule D-13 "Municipal Advisory Activities" Municipal Advisors
Rule G-26
Last Updated: 04/22/2019
Customer Account Transfers

Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

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

Municipal Advisors

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