Click to see Rules that have recent rulemaking activity or compliance resources:
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.
Dealers, Bank Dealers
Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business
Rule Summary: Prohibits dealers from engaging in municipal securities business and municipal advisors from engaging in municipal advisory business with municipal entities if certain contributions have been made to officials of such municipal entities within the preceding two-year period, and requires dealers and municipal advisors to disclose certain political contributions and other information.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities