Click to see Rules that have recent rulemaking activity or compliance resources:
Political Contributions and Prohibitions on Municipal Securities Business and Municipal Advisory Business
Rule Summary: Prohibits dealers from engaging in municipal securities business and municipal advisors from engaging in municipal advisory business with municipal entities if certain contributions have been made to officials of such municipal entities within the preceding two-year period, and requires dealers and municipal advisors to disclose certain political contributions and other information.
Dealers, Municipal Advisors, Bank Dealers, Municipal Fund Securities
Telemarketing
Rule Summary: Establishes telemarketing requirements with respect to the municipal securities activities of dealers.
Dealers, Bank Dealers, Municipal Fund Securities