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Rules with Recent

Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule D-1 General
Rule D-2 "Act"
Rule D-3 "Commission"
Rule D-4 "Board"
Rule D-5 "Member"
Rule D-6 "Whole Board"
Rule D-7 "Proposed Rules and Rules of the Board"
Rule D-8 "Bank Dealer" Dealers, Bank Dealers
Rule D-9 "Customer" Dealers, Bank Dealers
Rule D-10 "Discretionary Account" Dealers, Bank Dealers
Rule D-11 "Associated Persons"
Dealers, Municipal Advisors, Bank Dealers
Rule D-12 "Municipal Fund Security" Municipal Fund Securities
Rule D-13 "Municipal Advisory Activities" Municipal Advisors
Rule D-14 "Appropriate Regulatory Agency" Dealers, Municipal Advisors, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule D-1
Last Updated: No amendment history
General
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Rule D-2
Last Updated: No amendment history
"Act"
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Rule D-3
Last Updated: No amendment history
"Commission"
Status:
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Rule D-4
Last Updated: No amendment history
"Board"
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Rule D-5
Last Updated: No amendment history
"Member"
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Rule D-6
Last Updated: No amendment history
"Whole Board"
Status:
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Rule D-7
Last Updated: No amendment history
"Proposed Rules and Rules of the Board"
Status:
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Rule D-8
Last Updated: No amendment history
"Bank Dealer"
Rule for:

Dealers, Bank Dealers

Status:
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Rule D-9
Last Updated: No amendment history
"Customer"
Rule for:

Dealers, Bank Dealers

Status:
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Rule D-10
Last Updated: No amendment history
"Discretionary Account"
Rule for:

Dealers, Bank Dealers

Status:
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Rule D-11
Last Updated: No amendment history
"Associated Persons"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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Rule D-12
Last Updated: No amendment history
"Municipal Fund Security"
Rule for:

Municipal Fund Securities

Status:
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Rule D-13
Last Updated: No amendment history
"Municipal Advisory Activities"
Rule for:

Municipal Advisors

Status:
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Rule D-14
Last Updated: No amendment history
"Appropriate Regulatory Agency"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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Rule D-15
Last Updated: No amendment history
Sophisticated Municipal Market Professional
Rule for:

Dealers, Bank Dealers

Status:
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