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Rule G-16
Last Updated:
12/09/2020
Periodic Compliance Examination
Rule Summary: Sets forth minimum scope and frequency of periodic compliance examinations of dealers by a registered securities association and bank regulators.
Rule for:
Dealers, Bank Dealers
Status:
Rule D-15
Last Updated:
No amendment history
Request for Comment on MSRB Rule D-15 Defining the Term Sophisticated Municipal Market Professional