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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-7 Information Concerning Associated Persons Regulated Entity Administration Dealers, Bank Dealers
Rule G-28 Transactions with Employees and Partners of Other Municipal Securities Professionals Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-7
Last Updated: 08/01/2014
Information Concerning Associated Persons

Rule Summary: Requires dealers to obtain information from their associated personnel concerning their qualifications to engage in municipal securities business and contemplates that this information will be filed with the appropriate regulatory agency.

Rule for:

Dealers, Bank Dealers

Status:
Rule G-28
Last Updated: 02/24/2003
Transactions with Employees and Partners of Other Municipal Securities Professionals

Rule Summary: Establishes requirements for dealers who open accounts or effect transactions in municipal securities for a customer who is known to be an employee or partner of another dealer.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
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