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Rule G-15
Last Updated: 11/17/2016
Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers

Rule Summary: Requires dealers to provide customers with written confirmations of transactions, containing specified information, including mark-ups and mark-downs, and prescribes certain uniform practice procedures for dealers that transact municipal securities business with customers.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Rule G-26
Last Updated: 04/22/2019
Customer Account Transfers

Rule Summary: Ensures that a uniform account transfer standard applies to all dealers.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Rule G-28
Last Updated: 02/24/2003
Transactions with Employees and Partners of Other Municipal Securities Professionals

Rule Summary: Establishes requirements for dealers who open accounts or effect transactions in municipal securities for a customer who is known to be an employee or partner of another dealer.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
Rule G-33
Last Updated: 03/08/2016
Calculations

Rule Summary: Prescribes standard formulas for the computation of accrued interest, dollar price and yield; sets standards for accuracy; and establishes day-counting methods.

Rule for:

Dealers, Bank Dealers

Status: