Registration of Brokers and Dealers | Midpage

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Code of Federal Regulations

ECFR125cf6bb0f3ad20

Registration of Brokers and Dealers

240.15a-6Exemption of certain foreign brokers or dealers.240.15a-7 - 240.15a-9§§ 240.15a-7-240.15a-9 [Reserved]240.15a-10Exemption of certain brokers or dealers with respect to security futures products.240.15a-11[Reserved]240.15a-12Exemption for certain security-based swap execution facilities from certain broker requirements.240.15b1-1Application for registration of brokers or dealers.240.15b1-2[Reserved]240.15b1-3Registration of successor to registered broker or dealer.240.15b1-4Registration of fiduciaries.240.15b1-5Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.240.15b1-6Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.240.15b2-2Inspection of newly registered brokers and dealers.240.15b3-1Amendments to application.240.15b5-1Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.240.15b6-1Withdrawal from registration.240.15b7-1Compliance with qualification requirements of self-regulatory organizations.240.15b7-3TOperational capability in a Year 2000 environment.240.15b9-1Exemption for certain exchange members.240.15b9-2Exemption from SRO membership for OTC derivatives dealers.240.15b11-1Registration by notice of security futures product broker-dealers.