17 CFR Topic
Rules Relating to Over-the-Counter Markets
April 15, 2021
§
240.15c1-1
Definitions
§
240.15c1-2
Fraud and misrepresentation
§
240.15c1-3
Misrepresentation by brokers, dealers and municipal securities dealers as to registration
§
240.15c1-4
[Reserved]
§
240.15c1-5
Disclosure of control
§
240.15c1-6
Disclosure of interest in distribution
§
240.15c1-7
Discretionary accounts
§
240.15c1-8
Sales at the market
§
240.15c1-9
Use of pro forma balance sheets
§
240.15c2-1
Hypothecation of customers' securities
§
240.15c2-3
[Reserved]
§
240.15c2-4
Transmission or maintenance of payments received in connection with underwritings
§
240.15c2-5
Disclosure and other requirements when extending or arranging credit in certain transactions
§
240.15c2-6
[Reserved]
§
240.15c2-7
Identification of quotations
§
240.15c2-8
Delivery of prospectus
§
240.15c2-11
Publication or submission of quotations without specified information
§
240.15c2-12
Municipal securities disclosure
§
240.15c3-1
Net capital requirements for brokers or dealers
§
240.15c3-1a
Options (Appendix A to 17 CFR 240.15c3-1)
§
240.15c3-1b
Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1)
§
240.15c3-1c
Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1)
§
240.15c3-1d
Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1)
§
240.15c3-1e
Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1)
§
240.15c3-1f
Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1)
§
240.15c3-1g
Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1)
§
240.15c3-2
[Reserved]
§
240.15c3-3
Customer protection—reserves and custody of securities
§
240.15c3-3a
Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under §240.15c3-3
§
240.15c3-3b
Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under §240.15c3-3
§
240.15c3-4
Internal risk management control systems for OTC derivatives dealers
§
240.15c3-5
Risk management controls for brokers or dealers with market access
§
240.15c6-1
Settlement cycle
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