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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-7 Information Concerning Associated Persons Regulated Entity Administration Dealers, Bank Dealers
Rule G-33 Calculations Uniform Practice Dealers, Bank Dealers
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:
Rule G-33
Last Updated: 03/08/2016
Calculations

Rule Summary: Prescribes standard formulas for the computation of accrued interest, dollar price and yield; sets standards for accuracy; and establishes day-counting methods.

Rule for:

Dealers, Bank Dealers

Status:
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