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Rules with Recent

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Number Name Status Rule Category Regulated Entity
Rule G-16 Periodic Compliance Examination
Regulated Entity Administration Dealers, Bank Dealers
Rule D-9 "Customer" Dealers, Bank Dealers
IF-1 Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
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

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Rule D-9
Last Updated: No amendment history
"Customer"
Rule for:

Dealers, Bank Dealers

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IF-1
Last Updated: 10/01/2025
Real-Time Transaction Reporting and Price Dissemination (The "Real-Time Transaction Reporting System" or "RTRS")
Status:
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Notice (09/17/2025)
SEC Approves Amendments to MSRB Rule G-14 on Reporting of Transaction Prices
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