Click to see Rules that have recent rulemaking activity or compliance resources:
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.
Dealers, Municipal Advisors, Bank Dealers
Suitability of Recommendations and Transactions
Rule Summary: Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.
Dealers, Bank Dealers, Municipal Fund Securities
Duties of Non-Solicitor Municipal Advisors
Rule Summary: Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).
Municipal Advisors, Municipal Fund Securities