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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-41 Anti-Money Laundering Compliance Program Dealers, Bank Dealers
Rule G-46 Duties of Solicitor Municipal Advisors
Fair Practice Municipal Advisors, General Public, Issuers
Rule G-41
Last Updated: 04/22/2019
Anti-Money Laundering Compliance Program

Rule Summary: Requires a dealer to establish and implement an anti-money laundering program that complies with the rules and regulations governing anti-money laundering programs of either its registered securities association or its appropriate banking regulator.

Rule for:

Dealers, Bank Dealers

Status:
Rule G-46
Last Updated: 03/01/2024
Duties of Solicitor Municipal Advisors

Rule Summary: Establishes the core standards of conduct for solicitor municipal advisors when engaging in solicitation activities that would require them to register with the SEC and the MSRB as municipal advisors.

Rule for:

Municipal Advisors, General Public, Issuers

Status:
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