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Rule G-4
Last Updated:
08/07/1991
Statutory Disqualifications
Rule Summary: Prohibits dealers and their associated persons who have been the subject of certain disciplinary actions from qualifying under the MSRB’s professional qualification rules.
Rule for:
Dealers, Bank Dealers
Status:
Rule G-31
Last Updated:
No amendment history
Reciprocal Dealings with Municipal Securities Investment Companies
Rule Summary: Prohibits the solicitation of transactions in municipal securities with or for an investment company account in return for sales by the dealer of shares or units in the investment company.
Rule for:
Dealers, Bank Dealers
Status:
