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

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-22 Control Relationships Fair Practice Dealers, Bank Dealers
Rule G-41 Anti-Money Laundering Compliance Program Dealers, Bank Dealers
Rule G-22
Last Updated: No amendment history
Control Relationships

Rule Summary: Prohibits discretionary account transactions and effecting purchase and sale transactions of municipal securities by dealers, where the dealer has a control relationship with respect to the security, absent disclosure to the customer of such relationship.

Rule for:

Dealers, Bank Dealers

Status:
Rule G-41
Last Updated: 04/22/2019
Anti-Money Laundering Compliance Program

Rule Summary: Requires a dealer to establish and implement an anti-money laundering program that complies with the rules and regulations governing anti-money laundering programs of either its registered securities association or its appropriate banking regulator.

Rule for:

Dealers, Bank Dealers

Status:
Print