Click to see Rules that have recent rulemaking activity or compliance resources:
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:
Rule G-39
Last Updated:
05/24/2013
Telemarketing
Rule Summary: Establishes telemarketing requirements with respect to the municipal securities activities of dealers.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
