Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-5
Last Updated:
12/22/2010
Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations
Rule Summary: Prohibits dealers and municipal advisors from effecting transactions in municipal securities or engaging in municipal advisory activities in violation of restrictions imposed by other regulatory bodies.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
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:
