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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-20 Gifts, Gratuities, Non-Cash Compensation and Expenses of Issuance Dealers, Municipal Advisors, Bank Dealers
Rule G-44 Supervisory and Compliance Obligations of Municipal Advisors Regulated Entity Administration Municipal Advisors, Municipal Fund Securities
Rule G-20
Last Updated: 06/25/2020
Gifts, Gratuities, Non-Cash Compensation and Expenses of Issuance

Rule Summary: Prohibits dealers and municipal advisors from giving gifts or providing services in excess of $100 to another person in relation to the municipal securities activities of such person’s employer and limits the giving and acceptance of non-cash compensation by dealers, subject to exceptions.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule G-44
Last Updated: 04/20/2020
Supervisory and Compliance Obligations of Municipal Advisors

Rule Summary: Establishes supervisory and compliance obligations of municipal advisors when engaging in municipal advisory activities.

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
Print