Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-1
Last Updated:
02/26/2015
Separately Identifiable Department or Division of a Bank
Rule Summary: Defines the term “separately identifiable department or division of a bank” and sets forth bank activities that constitute dealer activities.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule G-19
Last Updated:
06/25/2020
Suitability of Recommendations and Transactions
Rule Summary: Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
