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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-26 Customer Account Transfers Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-35 Arbitration Dealers, Bank Dealers
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

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Rule G-35
Last Updated: 04/22/2019
Arbitration

Rule Summary: Subjects bank dealers to arbitration program.

Rule for:

Dealers, Bank Dealers

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