Click to see Rules that have recent rulemaking activity or compliance resources:
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.
Dealers, Bank Dealers, Municipal Fund Securities
CUSIP Numbers, New Issue, and Market Information Requirements
Rule Summary: Establishes requirements relating to CUSIP numbers for dealers and, in competitive offerings, municipal advisors; requires underwriter participation in the New Issue Information Dissemination Service (NIIDS); and requires submission of certain information and documents related to auction rate securities and variable rate demand obligations to the SHORT system.
Dealers, Municipal Advisors, Bank Dealers
