Rule
With respect to a broker, dealer, or municipal securities dealer, "appropriate regulatory agency" has the meaning set forth in Section 3(a)(34) of the Act. With respect to municipal advisors, "appropriate regulatory agency" means the Commission.
Compliance Resources
No Compliance Resources for this rule
Rule History
Rule D-14 Amendment History (since 2003)
Release No. 34-63308 (November 12, 2010), 75 FR 70335 (November 17, 2010); MSRB Notice 2010-47 (November 1, 2010)
Interpretive Guidance
No Interpretive Guidance for this rule
