REGISTRATION OF BROKERS AND DEALERS
- Section 240.15a-6 - Exemption of certain foreign brokers or dealers
- Section 240.15a-7 - 240.15a-9 - Reserved
- Section 240.15a-10 - Exemption of certain brokers or dealers with respect to security futures products
- Section 240.15a-11 - Reserved
- Section 240.15a-12 - Exemption for certain security-based swap execution facilities from certain broker requirements
- Section 240.15b1-1 - Application for registration of brokers or dealers
- Section 240.15b1-2 - Reserved
- Section 240.15b1-3 - Registration of successor to registered broker or dealer
- Section 240.15b1-4 - Registration of fiduciaries
- Section 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
- Section 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees
- Section 240.15b2-2 - Inspection of newly registered brokers and dealers
- Section 240.15b3-1 - Amendments to application
- Section 240.15b5-1 - Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation
- Section 240.15b6-1 - Withdrawal from registration
- Section 240.15b7-1 - Compliance with qualification requirements of self-regulatory organizations
- Section 240.15b7-3T - Operational capability in a Year 2000 environment
- Section 240.15b9-1 - Exemption for certain exchange members
- Section 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers
- Section 240.15b11-1 - Registration by notice of security futures product broker-dealers