Sections
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240.15c1-1
§ 240.15c1-1 Definitions. -
240.15c1-2
§ 240.15c1-2 Fraud and misrepresentation. -
240.15c1-3
§ 240.15c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration. -
240.15c1-4
§ 240.15c1-4 [Reserved] -
240.15c1-5
§ 240.15c1-5 Disclosure of control. -
240.15c1-6
§ 240.15c1-6 Disclosure of interest in distribution. -
240.15c1-7
§ 240.15c1-7 Discretionary accounts. -
240.15c1-8
§ 240.15c1-8 Sales at the market. -
240.15c1-9
§ 240.15c1-9 Use of pro forma balance sheets. -
240.15c2-1
§ 240.15c2-1 Hypothecation of customers' securities. -
240.15c2-3
§ 240.15c2-3 [Reserved] -
240.15c2-4
§ 240.15c2-4 Transmission or maintenance of payments received in connection with underwritings. -
240.15c2-5
§ 240.15c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions. -
240.15c2-6
§ 240.15c2-6 [Reserved] -
240.15c2-7
§ 240.15c2-7 Identification of quotations. -
240.15c2-8
§ 240.15c2-8 Delivery of prospectus. -
240.15c2-11
§ 240.15c2-11 Publication or submission of quotations without specified information. -
240.15c2-12
§ 240.15c2-12 Municipal securities disclosure. -
240.15c3-1
§ 240.15c3-1 Net capital requirements for brokers or dealers. -
240.15c3-1a
§ 240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1). -
240.15c3-1b
§ 240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1). -
240.15c3-1c
§ 240.15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1). -
240.15c3-1d
§ 240.15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1). -
240.15c3-1e
§ 240.15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1). -
240.15c3-1f
§ 240.15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1). -
240.15c3-1g
§ 240.15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1). -
240.15c3-2
§ 240.15c3-2 [Reserved] -
240.15c3-3
§ 240.15c3-3 Customer protection—reserves and custody of securities. -
240.15c3-3a
§ 240.15c3-3a Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3. -
240.15c3-3b
§ 240.15c3-3b Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3. -
240.15c3-4
§ 240.15c3-4 Internal risk management control systems for OTC derivatives dealers. -
240.15c3-5
§ 240.15c3-5 Risk management controls for brokers or dealers with market access. -
240.15c6-1
§ 240.15c6-1 Settlement cycle. -
240.15c6-2
§ 240.15c6-2 Same-day allocation, confirmation, and affirmation.