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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule D-11 "Associated Persons" Dealers, Municipal Advisors, Bank Dealers
Rule D-13 "Municipal Advisory Activities" Municipal Advisors
Rule D-14 "Appropriate Regulatory Agency" Dealers, Municipal Advisors, Bank Dealers
Rule D-11
Last Updated: No amendment history
"Associated Persons"
Rule for:

Dealers, Municipal Advisors, Bank Dealers

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:
View rule
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