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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-28 Transactions with Employees and Partners of Other Municipal Securities Professionals Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
IF-2 Short-Term Obligation Rate Transparency System
Rule G-28
Last Updated: 02/24/2003
Transactions with Employees and Partners of Other Municipal Securities Professionals

Rule Summary: Establishes requirements for dealers who open accounts or effect transactions in municipal securities for a customer who is known to be an employee or partner of another dealer.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

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IF-2
Last Updated: No amendment history
Short-Term Obligation Rate Transparency System
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