Click to see Rules that have recent rulemaking activity or compliance resources:
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:
Rule G-24
Last Updated:
No amendment history
Use of Ownership Information Obtained in Fiduciary or Agency Capacity
Rule Summary: Prohibits dealers from using non-public information obtained in the course of certain fiduciary or agency capacities concerning the ownership of securities in furtherance of their business activities or for financial gain.
Rule for:
Dealers, Bank Dealers
Status:
