Click to see Rules that have recent rulemaking activity or compliance resources:
Rule G-26
Last Updated:
04/22/2019
Customer Account Transfers
Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
Rule G-31
Last Updated:
No amendment history
Reciprocal Dealings with Municipal Securities Investment Companies
Rule Summary: Prohibits the solicitation of transactions in municipal securities with or for an investment company account in return for sales by the dealer of shares or units in the investment company.
Rule for:
Dealers, Bank Dealers
Status:
