Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-9
Last Updated:
06/25/2020
Preservation of Records
Rule Summary: Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
Rule G-16
Last Updated:
12/09/2020
Periodic Compliance Examination
Rule Summary: Sets forth minimum scope and frequency of periodic compliance examinations of dealers by a registered securities association and bank regulators.
Rule for:
Dealers, Bank Dealers
Status:
