Statutory Requirements Brokers and dealers must register with SEC Unless exempt Per Exchange Act §15 Definitions Broker Dealer Exemptions from registration Rules 15a-1 to 15a-10 Registration requirements Rules 15b1-1 to 15b11-1 Exemptions from Registration Rules 15a-1 to 15a-10 Rule 15a-1 OTC Derivatives [more...]
Rule 15c3-2 Customers' free credit balances Text of rule 29 FR 7240 6.03.64 Rule 15c3-3 Reserves and custody of securities Rule 15c3-3(a) Definitions Text of rule Customer Securities carried for the account of a customer ... customer securities Fully paid securities Margin securities Excess margin securities [more...]
US Treasury - Bureau of the Public Debt PublicDebt.Treasury.gov Statute Exchange Act § 15C Text of Statute SEC Rules Exchange Act § 15C Text of Statute Rule 15Ca1-1 Notice of Activities Text of Rule Rule 15Ca2-1 Registration Text of Rule Rule 15Ca2-3 Registration of Successors Text of [more...]
Supervised Investment Bank Holding Company Rules Summary SEC established two separate voluntary regulatory programs to supervise broker-dealers ( B/D ) and their affiliates on a consolidated basis Program 1 The program establishes an alternative capital computation method to compute certain market and credit risk capital [more...]
Exchange Act §7 Margin Requirements 7(a) Rules and regulations for extension of credit; standard for initial extension; undermargined accounts 7(b) Lower and higher margin requirements 7(c) Unlawful credit extension to customers 7(d) Unlawful credit extension in violation of rules and regulations; [more...]
Municipal Securities Rulemaking Board MSRB.org Statute Exchange Act § 15B Text of Statute SEC Rules Rule 15Ba2-1 Registration of Banks Text of Rule Rule 15Ba2-2 Registration of Intrastate Dealers Text of Rule Rule 15Ba2-4 Registration of Successors Text of Rule Rule 15Ba2-5 Registration of [more...]
Statute Exchange Act § 11A Text of Statute Securities Act Amendments of 1975 Amended Securities Act and Exchange Act SEC Rules Rule 11Aa2-1 National Market System Securities 11Aa2-1 Rule 11Aa3-1 Transaction Reports and Last Sale Data 11Aa3-1 Rule 11Aa3-2 National Market System Plans 11Aa3-2 Rule [more...]
Statute Exchange Act § 17 Text of Statute SEC Rules Rules 17a-1 to 17a-25 Rule 17a-1 SRO recordkeeping rule 17a-1 45 FR 79426 12.01.80 Rule 17a-2 Stabilizing activities 17a-2 48 FR 41378 9.15.83 62 FR 520, 544 1.03.97 Rule 17a-3 Records made by broker-dealers 17a-3 13 FR 8212 [more...]
Securities Exchanges: Statute - SEC Rules Exchange Act § 6 Text of Statute Rule 6a-1 Registration 6a-1 14 FR 7759 12.29.49 63 FR 70844, 70918 12.22.98 Rule 6a-2 Amendments to application 6a-2 48 FR 24666 6.02.83 59 FR 66700 12.28.94 63 FR 70844, 70918 12.22.98 66 FR 43721, 43741 8.20.01 Rule 6a-3 Supplemental [more...]