See Rules that have new rulemaking activity or compliance resources:
Rule G-43
Last Updated:
06/22/2012
Broker’s Brokers
Rule Summary: Establishes duties of dealers acting as broker’s brokers, including when conducting auctions of municipal securities known as “bid-wanteds”; requires broker’s brokers to establish policies and procedures regarding bid-wanteds and offerings; and prohibits certain wrongful conduct.
Rule for:
Dealers, Bank Dealers
Status: