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-42
Last Updated:
05/07/2018
Duties of Non-Solicitor Municipal Advisors
Rule Summary: Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).
Rule for:
Municipal Advisors, Municipal Fund Securities
Status:
