Click to see Rules that have recent rulemaking activity or compliance resources:
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:
Rule G-39
Last Updated:
05/24/2013
Telemarketing
Rule Summary: Establishes telemarketing requirements with respect to the municipal securities activities of dealers.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
