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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:
Rule G-39
Last Updated:
05/24/2013
Telemarketing
Rule Summary: Establishes telemarketing requirements with respect to the municipal securities activities of dealers.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
