Series 7:Munis-Rules
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Created by:
504Series27 on April 20, 2012
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42 terms
Terms | Definitions |
|---|---|
 Rule G-1 | Separately Identifiable Department or Division of a Bank |
| Rule G-2 | Standards of Professional Qualification |
| Rule G-3 | Classification of Principals and Representatives; Numerical Requirements; Testing; Continuing Education Requirements |
| Rule G-4 | Statutory Disqualifications |
| Rule G-5 | Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations |
| Rule G-6 | Fidelity Bonding Requirements |
| Rule G-7 | Information Concerning Associated Persons |
| Rule G-8 | Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers |
| Rule G-9 | Preservation of Records |
| Rule G-10 | Delivery of Investor Brochure |
| Rule G-11 | Primary Offering Practices |
| Rule G-12 | Uniform Practice |
| Rule G-13 | Quotations Relating to Municipal Securities |
| Rule G-14 | Reports of Sales or Purchases |
| Rule G-15 | Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers |
| Rule G-16 | Periodic Compliance Examination |
| Rule G-17 | Conduct of Municipal Securities and Municipal Advisory Activities |
| Rule G-18 | Execution of Transactions |
| Rule G-19 | Suitability of Recommendations and Transactions; Discretionary Accounts |
| Rule G-20 | Gifts, Gratuities and Non-Cash Compensation |
| Rule G-21 | Advertising |
| Rule G-22 | Control Relationships |
| Rule G-23 | Activities of Financial Advisors |
| Rule G-24 | Use of Ownership Information Obtained in Fiduciary or Agency Capacity |
| Rule G-25 | Improper Use of Assets |
| Rule G-26 | Customer Account Transfers |
| Rule G-27 | Supervision |
| Rule G-28 | Transactions with Employees and Partners of Other Municipal Securities Professionals |
| Rule G-29 | Availability of Board Rules |
| Rule G-30 | Prices and Commissions |
| Rule G-31 | Reciprocal Dealings with Municipal Securities Investment Companies |
| Rule G-32 | Disclosures In Connection With Primary Offerings |
| Rule G-33 | Calculations |
| Rule G-34 | CUSIP Numbers, New Issue, and Market Information Requirements |
| Rule G-35 | Arbitration |
| Rule G-36 | Reserved |
| Former Rule G-36 | Former Rule G-36 |
| Rule G-37 | Political Contributions and Prohibitions on Municipal Securities Business |
| Rule G-38 | Solicitation of Municipal Securities Business |
| Rule G-39 | Telemarketing |
| Rule G-40 | Electronic Mail Contacts |
| Rule G-41 | Anti-Money Laundering Compliance Program |
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