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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-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:
