Click to see Rules that have recent rulemaking activity or compliance resources:
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-26
Last Updated:
04/22/2019
Customer Account Transfers
Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
