See Rules that have new rulemaking activity or compliance resources:
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:
Compliance Resource
Considerations for Assessing Written Supervisory Procedures for Municipal Advisory Services
