Sections
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240.15aa-1
§ 240.15aa-1 Registration of a national or an affiliated securities association. -
240.15aa-2
§ 240.15aa-2 Amendments and supplements to registration statements of securities associations. -
240.15Al2-1
§ 240.15Al2-1 [Reserved] -
240.15Ba1-1
§ 240.15Ba1-1 Definitions. -
240.15Ba1-2
§ 240.15Ba1-2 Registration of municipal advisors and information regarding certain natural persons. -
240.15Ba1-3
§ 240.15Ba1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act. -
240.15Ba1-4
§ 240.15Ba1-4 Withdrawal from municipal advisor registration. -
240.15Ba1-5
§ 240.15Ba1-5 Amendments to Form MA and Form MA-I. -
240.15Ba1-6
§ 240.15Ba1-6 Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors. -
240.15Ba1-7
§ 240.15Ba1-7 Registration of successor to municipal advisor. -
240.15Ba1-8
§ 240.15Ba1-8 Books and records to be made and maintained by municipal advisors. -
240.15Ba2-1
§ 240.15Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks. -
240.15Ba2-2
§ 240.15Ba2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate. -
240.15Ba2-4
§ 240.15Ba2-4 Registration of successor to registered municipal securities dealer. -
240.15Ba2-5
§ 240.15Ba2-5 Registration of fiduciaries. -
240.15Ba2-6
§ 240.15Ba2-6 [Reserved] -
240.15Bc3-1
§ 240.15Bc3-1 Withdrawal from registration of municipal securities dealers. -
240.15Bc4-1
§ 240.15Bc4-1 Persons associated with municipal advisors. -
240.15Bc7-1
§ 240.15Bc7-1 Availability of examination reports.