Click to see Rules that have recent rulemaking activity or compliance resources:
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-39
Last Updated:
05/24/2013
Telemarketing
Rule Summary: Establishes telemarketing requirements with respect to the municipal securities activities of dealers.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
