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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-3 Professional Qualification Requirements
Professional Qualification Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Rule G-7 Information Concerning Associated Persons Regulated Entity Administration Dealers, Bank Dealers
Rule G-3
Last Updated: 10/12/2023
Professional Qualification Requirements

Rule Summary: Establishes professional qualification and continuing education requirements for, and specifies the number of supervisory personnel who must be associated with, dealers and municipal advisors.

Rule for:

Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities

Status:
Compliance Resource (11/19/2025)
Steps for Registering as a Municipal Advisor
View Resource
Rule G-7
Last Updated: 08/01/2014
Information Concerning Associated Persons

Rule Summary: Requires dealers to obtain information from their associated personnel concerning their qualifications to engage in municipal securities business and contemplates that this information will be filed with the appropriate regulatory agency.

Rule for:

Dealers, Bank Dealers

Status:
Print