1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
  6. Topic - Registration of Brokers and Dealers
  7. 17 CFR § 240.15b1-6
17 CFR § 240.15b1-6
Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees
April 15, 2021
CFR

Brokers and dealers are hereby notified of Rule 17Ad-17 (§240.17Ad-17), which addresses certain requirements with respect to lost securityholders and unresponsive payees that may be applicable to them.

[78 FR 4783, Jan. 23, 2013]

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§ 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
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§ 240.15b2-2 Inspection of newly registered brokers and dealers

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