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
Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business
Rule Summary: Prohibits dealers from engaging in municipal securities business and municipal advisors from engaging in municipal advisory business with municipal entities if certain contributions have been made to officials of such municipal entities within the preceding two-year period, and requires dealers and municipal advisors to disclose certain political contributions and other information.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities