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-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:
