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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule A-18 Mandatory Participation in Business Continuity and Disaster Recovery Testing
Dealers, Municipal Advisors, Bank Dealers
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-14 "Appropriate Regulatory Agency" Dealers, Municipal Advisors, Bank Dealers
Rule D-15 Sophisticated Municipal Market Professional Dealers, Bank Dealers
Rule A-18
Last Updated: No amendment history
Mandatory Participation in Business Continuity and Disaster Recovery Testing
Rule for:

Dealers, Municipal Advisors, Bank Dealers

Status:
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Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
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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-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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