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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:
Rule G-23
Last Updated:
05/27/2011
Activities of Financial Advisors
Rule Summary: Requires dealers to evidence in writing financial advisory relationships and prohibits dealers from serving as financial advisor and underwriter or placement agent on the same issue.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
