Rules Relating to Over-the-Counter Markets

  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. Rules Relating to Over-the-Counter Markets

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Section
240.15c1-1

Definitions.

Section
240.15c1-2

Fraud and misrepresentation.

Section
240.15c1-3

Misrepresentation by brokers, dealers and municipal securities dealers as to registration.

Section
240.15c1-4

§ 240.15c1-4 [Reserved]

Section
240.15c1-5

Disclosure of control.

Section
240.15c1-6

Disclosure of interest in distribution.

Section
240.15c1-7

Discretionary accounts.

Section
240.15c1-8

Sales at the market.

Section
240.15c1-9

Use of pro forma balance sheets.

Section
240.15c2-1

Hypothecation of customers' securities.

Section
240.15c2-3

§ 240.15c2-3 [Reserved]

Section
240.15c2-4

Transmission or maintenance of payments received in connection with underwritings.

Section
240.15c2-5

Disclosure and other requirements when extending or arranging credit in certain transactions.

Section
240.15c2-6

§ 240.15c2-6 [Reserved]

Section
240.15c2-7

Identification of quotations.

Section
240.15c2-8

Delivery of prospectus.

Section
240.15c2-11

Publication or submission of quotations without specified information.

Section
240.15c2-12

Municipal securities disclosure.

Section
240.15c3-1

Net capital requirements for brokers or dealers.

Section
240.15c3-1a

Options (Appendix A to 17 CFR 240.15c3-1).

Section
240.15c3-1b

Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).

Section
240.15c3-1c

Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).

Section
240.15c3-1d

Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).

Section
240.15c3-1e

Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).

Section
240.15c3-1f

Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).

Section
240.15c3-1g

Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).

Section
240.15c3-2

§ 240.15c3-2 [Reserved]

Section
240.15c3-3

Customer protection - reserves and custody of securities.

Section
240.15c3-3a

Exhibit A - Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.

Section
240.15c3-3b

Exhibit B - Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.

Section
240.15c3-4

Internal risk management control systems for OTC derivatives dealers.

Section
240.15c3-5

Risk management controls for brokers or dealers with market access.

Section
240.15c6-1

Settlement cycle.