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Rule G-19
Last Updated:
06/25/2020
Suitability of Recommendations and Transactions
Rule Summary: Sets standards for recommendations by dealers to customers of purchases, sales or exchanges of municipal securities.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
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:
Notice
Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
