Muni Securities and Dealers

Overview

This page is intended to provide an overview of the requirements applicable to municipal securities generally and to municipal securities dealers. Of course, many of the requirements applicable to municipal securities are generally relevant to securities dealers. For general rules on broker-dealers and the securities markets, see the page on BDs and Markets. There is also a Topic Page focused on Municipal Advisors.

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Securities Act and Rules

Statute and SEC Rules

FINRA Rules

Banking Rules

 

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