Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-23
Last Updated:
05/27/2011
Activities of Financial Advisors
Rule Summary: Requires dealers to evidence in writing financial advisory relationships and prohibits dealers from serving as financial advisor and underwriter or placement agent on the same issue.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule G-33
Last Updated:
03/08/2016
Calculations
Rule Summary: Prescribes standard formulas for the computation of accrued interest, dollar price and yield; sets standards for accuracy; and establishes day-counting methods.
Rule for:
Dealers, Bank Dealers
Status:
Rule D-14
Last Updated:
No amendment history
"Appropriate Regulatory Agency"
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
