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Rule G-3
Last Updated:
10/12/2023
Professional Qualification Requirements
Rule Summary: Establishes professional qualification and continuing education requirements for, and specifies the number of supervisory personnel who must be associated with, dealers and municipal advisors.
Rule for:
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Status:
Compliance Resource (11/19/2025)
Steps for Registering as a Municipal Advisor
Rule G-31
Last Updated:
No amendment history
Reciprocal Dealings with Municipal Securities Investment Companies
Rule Summary: Prohibits the solicitation of transactions in municipal securities with or for an investment company account in return for sales by the dealer of shares or units in the investment company.
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:
