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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-35 Arbitration Dealers, Bank Dealers
Rule D-13 "Municipal Advisory Activities" Municipal Advisors
Rule G-35
Last Updated: 04/22/2019
Arbitration

Rule Summary: Subjects bank dealers to arbitration program.

Rule for:

Dealers, Bank Dealers

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

Municipal Advisors

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