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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-35 Arbitration 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

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Rule G-35
Last Updated: 04/22/2019
Arbitration

Rule Summary: Subjects bank dealers to arbitration program.

Rule for:

Dealers, Bank Dealers

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