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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-34
Last Updated:
12/14/2017
CUSIP Numbers, New Issue, and Market Information Requirements
Rule Summary: Establishes requirements relating to CUSIP numbers for dealers and, in competitive offerings, municipal advisors; requires underwriter participation in the New Issue Information Dissemination Service (NIIDS); and requires submission of certain information and documents related to auction rate securities and variable rate demand obligations to the SHORT system.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
