Registration of Brokers and Dealers

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter II
6. ›
7. Part 240
8. ›
9. Subpart A
10. ›
11. Subject Group Registration of Brokers and Dealers

Sections

• 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.