Rules Relating to Over-the-Counter Markets
- § 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