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