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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-8 Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule D-14 "Appropriate Regulatory Agency" Dealers, Municipal Advisors, Bank Dealers
IF-2 Short-Term Obligation Rate Transparency System
Rule G-8
Last Updated: 03/01/2024
Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors

Rule Summary: Requires dealers and municipal advisors to make and keep current certain specified records.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
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Rule D-14
Last Updated: No amendment history
"Appropriate Regulatory Agency"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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IF-2
Last Updated: No amendment history
Short-Term Obligation Rate Transparency System
Status:
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