Registration of Brokers and Dealers

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Registration of Brokers and Dealers

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Section
240.15a-6

Exemption of certain foreign brokers or dealers.

Sections
240.15a-7 - 240.15a-9

§§ 240.15a-7-240.15a-9 [Reserved]

Section
240.15a-10

Exemption of certain brokers or dealers with respect to security futures products.

Section
240.15a-11

§ 240.15a-11 [Reserved]

Section
240.15b1-1

Application for registration of brokers or dealers.

Section
240.15b1-2

§ 240.15b1-2 [Reserved]

Section
240.15b1-3

Registration of successor to registered broker or dealer.

Section
240.15b1-4

Registration of fiduciaries.

Section
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.

Section
240.15b1-6

Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.

Section
240.15b2-2

Inspection of newly registered brokers and dealers.

Section
240.15b3-1

Amendments to application.

Section
240.15b5-1

Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.

Section
240.15b6-1

Withdrawal from registration.

Section
240.15b7-1

Compliance with qualification requirements of self-regulatory organizations.

Section
240.15b7-3T

Operational capability in a Year 2000 environment.

Section
240.15b9-1

Exemption for certain exchange members.

Section
240.15b9-2

Exemption from SRO membership for OTC derivatives dealers.

Section
240.15b11-1

Registration by notice of security futures product broker-dealers.