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Rule G-7
Last Updated:
08/01/2014
Information Concerning Associated Persons
Rule Summary: Requires dealers to obtain information from their associated personnel concerning their qualifications to engage in municipal securities business and contemplates that this information will be filed with the appropriate regulatory agency.
Rule for:
Dealers, Bank Dealers
Status:
Rule G-11
Last Updated:
06/27/2019
Primary Offering Practices
Rule Summary: Establishes terms and conditions for sales by dealers of new issues of municipal securities in primary offerings, including provisions on priority of customer orders.
Rule for:
Dealers, Bank Dealers
Status:
