17 CFR Topic
National and Affiliated Securities Associations
April 15, 2021
§
240.15Aa-1
Registration of a national or an affiliated securities association
§
240.15Aj-1
Amendments and supplements to registration statements of securities associations
§
240.15Al2-1
[Reserved]
§
240.15Ba1-1
Definitions
§
240.15Ba1-2
Registration of municipal advisors and information regarding certain natural persons
§
240.15Ba1-3
Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act
§
240.15Ba1-4
Withdrawal from municipal advisor registration
§
240.15Ba1-5
Amendments to Form MA and Form MA-I
§
240.15Ba1-6
Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors
§
240.15Ba1-7
Registration of successor to municipal advisor
§
240.15Ba1-8
Books and records to be made and maintained by municipal advisors
§
240.15Ba2-1
Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks
§
240.15Ba2-2
Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate
§
240.15Ba2-4
Registration of successor to registered municipal securities dealer
§
240.15Ba2-5
Registration of fiduciaries
§
240.15Ba2-6
[Reserved]
§
240.15Bc3-1
Withdrawal from registration of municipal securities dealers
§
240.15Bc4-1
Persons associated with municipal advisors
§
240.15Bc7-1
Availability of examination reports
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