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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-4
Last Updated:
08/07/1991
Statutory Disqualifications
Rule Summary: Prohibits dealers and their associated persons who have been the subject of certain disciplinary actions from qualifying under the MSRB’s professional qualification rules.
Rule for:
Dealers, Bank Dealers
Status:
