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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-10 Investor and Municipal Advisory Client Education and Protection Fair Practice Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-13 Quotations Relating to Municipal Securities Fair Practice Dealers, Bank Dealers
Rule G-10
Last Updated: 10/05/2021
Investor and Municipal Advisory Client Education and Protection

Rule Summary: Requires dealers and municipal advisors to provide certain notices to customers and clients within specified timeframes.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
Rule G-13
Last Updated: 06/15/1999
Quotations Relating to Municipal Securities

Rule Summary: Requires quotations distributed or published by a dealer to represent bona fide bids or offers of municipal securities, based upon the dealer’s best judgment of the fair market value of the securities, and prohibits misrepresentation of another dealer’s quotations.

Rule for:

Dealers, Bank Dealers

Status:
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