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Rule G-8
Last Updated:
03/01/2024
Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors
Rule Summary: Requires dealers and municipal advisors to make and keep current certain specified records.
Rule for:
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
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:
