17 CFR Topic
Registration of Brokers and Dealers
April 15, 2021
§
240.15a-6
Exemption of certain foreign brokers or dealers
§
§240.15a-7--240.15a-9
[Reserved]
§
240.15a-10
Exemption of certain brokers or dealers with respect to security futures products
§
240.15a-11
[Reserved]
§
240.15b1-1
Application for registration of brokers or dealers
§
240.15b1-2
[Reserved]
§
240.15b1-3
Registration of successor to registered broker or dealer
§
240.15b1-4
Registration of fiduciaries
§
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
§
240.15b1-6
Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees
§
240.15b2-2
Inspection of newly registered brokers and dealers
§
240.15b3-1
Amendments to application
§
240.15b5-1
Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation
§
240.15b6-1
Withdrawal from registration
§
240.15b7-1
Compliance with qualification requirements of self-regulatory organizations
§
240.15b7-3T
Operational capability in a Year 2000 environment
§
240.15b9-1
Exemption for certain exchange members
§
240.15b9-2
Exemption from SRO membership for OTC derivatives dealers
§
240.15b11-1
Registration by notice of security futures product broker-dealers
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