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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-23 Activities of Financial Advisors Fair Practice Dealers, Municipal Advisors, Bank Dealers
Rule G-37 Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business Fair Practice Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-23
Last Updated: 05/27/2011
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.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
Rule G-37
Last Updated: 08/04/2016
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.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
Print