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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 D-14
Last Updated:
No amendment history
"Appropriate Regulatory Agency"
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
