Sections
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240.15a-6
§ 240.15a-6 Exemption of certain foreign brokers or dealers. -
240.15a-7 - 240.15a-9
§§ 240.15a-7-240.15a-9 [Reserved] -
240.15a-10
§ 240.15a-10 Exemption of certain brokers or dealers with respect to security futures products. -
240.15a-11
§ 240.15a-11 [Reserved] -
240.15a-12
§ 240.15a-12 Exemption for certain security-based swap execution facilities from certain broker requirements. -
240.15b1-1
§ 240.15b1-1 Application for registration of brokers or dealers. -
240.15b1-2
§ 240.15b1-2 [Reserved] -
240.15b1-3
§ 240.15b1-3 Registration of successor to registered broker or dealer. -
240.15b1-4
§ 240.15b1-4 Registration of fiduciaries. -
240.15b1-5
§ 240.15b1-5 Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers. -
240.15b1-6
§ 240.15b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees. -
240.15b2-2
§ 240.15b2-2 Inspection of newly registered brokers and dealers. -
240.15b3-1
§ 240.15b3-1 Amendments to application. -
240.15b5-1
§ 240.15b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation. -
240.15b6-1
§ 240.15b6-1 Withdrawal from registration. -
240.15b7-1
§ 240.15b7-1 Compliance with qualification requirements of self-regulatory organizations. -
240.15b7-3T
§ 240.15b7-3T Operational capability in a Year 2000 environment. -
240.15b9-1
§ 240.15b9-1 Exemption for certain exchange members. -
240.15b9-2
§ 240.15b9-2 Exemption from SRO membership for OTC derivatives dealers. -
240.15b11-1
§ 240.15b11-1 Registration by notice of security futures product broker-dealers.