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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-43 Broker’s Brokers Fair Practice 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-43
Last Updated: 06/22/2012
Broker’s Brokers

Rule Summary: Establishes duties of dealers acting as broker’s brokers, including when conducting auctions of municipal securities known as “bid-wanteds”; requires broker’s brokers to establish policies and procedures regarding bid-wanteds and offerings; and prohibits certain wrongful conduct.

Rule for:

Dealers, Bank Dealers

Status:
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