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