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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-38 Solicitation of Municipal Securities Business Dealers, Bank Dealers
Rule G-44 Supervisory and Compliance Obligations of Municipal Advisors Regulated Entity Administration Municipal Advisors, Municipal Fund Securities
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

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Rule G-44
Last Updated: 04/20/2020
Supervisory and Compliance Obligations of Municipal Advisors

Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
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