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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-22
Last Updated:
No amendment history
Control Relationships
Rule Summary: Prohibits discretionary account transactions and effecting purchase and sale transactions of municipal securities by dealers, where the dealer has a control relationship with respect to the security, absent disclosure to the customer of such relationship.
Rule for:
Dealers, Bank Dealers
Status:
