Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-5
Last Updated:
12/22/2010
Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations
Rule Summary: Prohibits dealers and municipal advisors from effecting transactions in municipal securities or engaging in municipal advisory activities in violation of restrictions imposed by other regulatory bodies.
Rule for:
Dealers, Municipal Advisors, Bank Dealers
Status:
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:
