Registration of Government Securities Brokers and Government Securities 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 Government Securities Brokers and Government Securities Dealers

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Section
240.15Ca1-1

Notice of government securities broker-dealer activities.

Section
240.15Ca2-1

Application for registration as a government securities broker or government securities dealer.

Section
240.15Ca2-2

§ 240.15Ca2-2 [Reserved]

Section
240.15Ca2-3

Registration of successor to registered government securities broker or government securities dealer.

Section
240.15Ca2-4

Registration of fiduciaries.

Section
240.15Ca2-5

Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.

Section
240.15Cc1-1

Withdrawal from registration of government securities brokers or government securities dealers.