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Expanded Compact
Rule G-6
Last Updated: 06/15/1999
Fidelity Bonding Requirements

Rule Summary: Requires dealers that are members of a registered securities association to meet the fidelity bonding requirements set by the association, as a prerequisite to qualification for purposes of MSRB Rule G-2.

Rule for:

Dealers

Status:
Rule G-15
Last Updated: 05/28/2024
Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers

Rule Summary: Requires dealers to provide customers with written confirmations of transactions, containing specified information, including mark-ups and mark-downs, and prescribes certain uniform practice procedures for dealers that transact municipal securities business with customers.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
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