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

Back to top
Rule G-17
Last Updated: 11/06/2019
Conduct of Municipal Securities and Municipal Advisory Activities

Rule Summary: Requires dealers and municipal advisors to deal fairly with all persons and not to engage in any deceptive, dishonest or unfair practice.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status: