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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-15 Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-39 Telemarketing Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
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-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:
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