Click to see Rules that have recent rulemaking activity or compliance resources:

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-30 Prices and Commissions Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-38 Solicitation of Municipal Securities Business Dealers, Bank Dealers
Rule G-30
Last Updated: 11/17/2016
Prices and Commissions

Rule Summary: Requires dealers to effect transactions in municipal securities with customers at fair and reasonable prices, if acting as principal, and to make reasonable efforts to obtain fair and reasonable prices for customers and to charge fair and reasonable commissions, if acting as agent.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

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:
Print