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Number Name Status Rule Category Regulated Entity
Rule G-16 Periodic Compliance Examination
Regulated Entity Administration Dealers, Bank Dealers
Rule G-39 Telemarketing Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
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

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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

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