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Rule G-42
Last Updated: 05/07/2018
Duties of Non-Solicitor Municipal Advisors

Rule Summary: Establishes the core standards of conduct and duties of municipal advisors when engaging in municipal advisory activities (as defined in this rule).

Rule for:

Municipal Advisors, Municipal Fund Securities

Status:
New Compliance Resource
Considerations for Assessing Written Supervisory Procedures for Municipal Advisory Services
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