Click to see Rules that have recent rulemaking activity or compliance resources:
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:
Rule G-33
Last Updated:
03/08/2016
Calculations
Rule Summary: Prescribes standard formulas for the computation of accrued interest, dollar price and yield; sets standards for accuracy; and establishes day-counting methods.
Rule for:
Dealers, Bank Dealers
Status: