Click to see Rules that have recent rulemaking activity or compliance resources:
Activities of Financial Advisors
Rule Summary: Requires dealers to evidence in writing financial advisory relationships and prohibits dealers from serving as financial advisor and underwriter or placement agent on the same issue.
Dealers, Municipal Advisors, Bank Dealers
Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business
Rule Summary: Prohibits dealers from engaging in municipal securities business and municipal advisors from engaging in municipal advisory business with municipal entities if certain contributions have been made to officials of such municipal entities within the preceding two-year period, and requires dealers and municipal advisors to disclose certain political contributions and other information.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities