Click to see Rules that have recent rulemaking activity or compliance resources:

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-41 Anti-Money Laundering Compliance Program Dealers, Bank Dealers
Rule G-42 Duties of Non-Solicitor Municipal Advisors Fair Practice Municipal Advisors, Municipal Fund Securities
Rule G-41
Last Updated: 04/22/2019
Anti-Money Laundering Compliance Program

Rule Summary: Requires a dealer to establish and implement an anti-money laundering program that complies with the rules and regulations governing anti-money laundering programs of either its registered securities association or its appropriate banking regulator.

Rule for:

Dealers, Bank Dealers

Status:
Rule G-42
Last Updated: 05/07/2018
Duties of Non-Solicitor Municipal Advisors

Rule Summary: Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
Print