Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-5
Last Updated:
12/22/2010
Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations
Rule Summary: Prohibits dealers and municipal advisors from effecting transactions in municipal securities or engaging in municipal advisory activities in violation of restrictions imposed by other regulatory bodies.
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:
