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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-6 Fidelity Bonding Requirements Regulated Entity Administration Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule G-6
Last Updated: 06/15/1999
Fidelity Bonding Requirements

Rule Summary: Requires dealers that are members of a registered securities association to meet the fidelity bonding requirements set by the association, as a prerequisite to qualification for purposes of MSRB Rule G-2.

Rule for:

Dealers

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Rule D-15
Last Updated: No amendment history
Sophisticated Municipal Market Professional
Rule for:

Dealers, Bank Dealers

Status:
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Request for Comment on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional
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