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

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-9 Preservation of Records Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers
Rule G-19 Suitability of Recommendations and Transactions Fair Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-9
Last Updated: 06/25/2020
Preservation of Records

Rule Summary: Prescribes the periods of time that records must be preserved and requires that records be accessible for inspection by appropriate regulatory agencies.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule G-19
Last Updated: 06/25/2020
Suitability of Recommendations and Transactions

Rule Summary: Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Print