Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-13
Last Updated:
06/15/1999
Quotations Relating to Municipal Securities
Rule Summary: Requires quotations distributed or published by a dealer to represent bona fide bids or offers of municipal securities, based upon the dealer’s best judgment of the fair market value of the securities, and prohibits misrepresentation of another dealer’s quotations.
Rule for:
Dealers, Bank Dealers
Status:
Rule G-38
Last Updated:
04/22/2019
Solicitation of Municipal Securities Business
Rule Summary: Prohibits dealers from paying persons who are not affiliated with the dealers for a solicitation of municipal securities business on their behalf.
Rule for:
Dealers, Bank Dealers
Status: