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

Back to top
Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-34 CUSIP Numbers, New Issue, and Market Information Requirements Market Transparency Dealers, Municipal Advisors, Bank Dealers
Rule G-34
Last Updated: 12/14/2017
CUSIP Numbers, New Issue, and Market Information Requirements

Rule Summary: Establishes requirements relating to CUSIP numbers for dealers and, in competitive offerings, municipal advisors; requires underwriter participation in the New Issue Information Dissemination Service (NIIDS); and requires submission of certain information and documents related to auction rate securities and variable rate demand obligations to the SHORT system.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status: