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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-8 Books and Records to be Made by Brokers, Dealers, and Municipal Securities Dealers and Municipal Advisors Regulated Entity Administration Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-28 Transactions with Employees and Partners of Other Municipal Securities Professionals Uniform Practice Dealers, Bank Dealers, Municipal Fund Securities
Rule G-31 Reciprocal Dealings with Municipal Securities Investment Companies Fair Practice Dealers, Bank Dealers
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

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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

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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

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