Click to see Rules that have recent rulemaking activity or compliance resources:

Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-16 Periodic Compliance Examination
Regulated Entity Administration Dealers, Bank Dealers
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:
View rule
Share
Print