Regulatory Document
Separately Identifiable Department or Division of a Bank
November 17, 1975
Regulatory Document
Previously Registered Entitites
June 16, 1976
Regulatory Document
Interpretive Notice on Underwriting Assessment
April 07, 1976
Regulatory Document
Quotation of municipal securities
February 24, 1977
Regulatory Document
Agency Transactions: Remuneration
November 10, 1977
Regulatory Document
Callable Securities: "Catastrophe" Calls
November 07, 1977
Regulatory Document
Uniform Practice and Rule G-15 on Customer Confirmations
November 28, 1977
Regulatory Document
INTERPRETIVE NOTICE ON RECORDKEEPING
July 29, 1977
Regulatory Document
Underwriting Aassessment: Application to Private Placements
February 22, 1982
Regulatory Document
Underwriting Assessment: Intrastate Underwriting
March 27, 1978
Regulatory Document
Fully Disclosed Broker
April 04, 1978
Regulatory Document
Extent and Type of Municipal Securities Activities
May 03, 1978
Regulatory Document
Communication of Information
November 09, 1978
Regulatory Document
Settlement of Syndicate Accounts
November 01, 1978
Regulatory Document
Delivery Requirements: Partials
February 23, 1978
Regulatory Document
Delivery Requirements: Coupons and Coupon Checks
March 09, 1978
Regulatory Document
Callable Securities: Pricing to Call
June 08, 1978
Regulatory Document
Periodic compliance examinations
February 17, 1978
Regulatory Document
Municipal securities representative
October 27, 1978
Regulatory Document
Clerical or Ministerial Duties
December 08, 1978
Regulatory Document
Records of Original Entry
October 26, 1978
Regulatory Document
Securities Control
April 10, 1978
Regulatory Document
Securities Record
April 08, 1978
Regulatory Document
Excerpt from Notice of Approval of Fair Practice Rules
October 24, 1978
Regulatory Document
Approval of Fair Practice Rules
October 24, 1978
