National and Affiliated Securities Associations | Midpage

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Code of Federal Regulations

ECFR94fd93cfd565192

National and Affiliated Securities Associations

240.15aa-1Registration of a national or an affiliated securities association.240.15aa-2Amendments and supplements to registration statements of securities associations.240.15Al2-1[Reserved]240.15Ba1-1Definitions.240.15Ba1-2Registration of municipal advisors and information regarding certain natural persons.240.15Ba1-3Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.240.15Ba1-4Withdrawal from municipal advisor registration.240.15Ba1-5Amendments to Form MA and Form MA-I.240.15Ba1-6Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.240.15Ba1-7Registration of successor to municipal advisor.240.15Ba1-8Books and records to be made and maintained by municipal advisors.240.15Ba2-1Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.240.15Ba2-2Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.240.15Ba2-4Registration of successor to registered municipal securities dealer.240.15Ba2-5Registration of fiduciaries.240.15Ba2-6[Reserved]240.15Bc3-1Withdrawal from registration of municipal securities dealers.240.15Bc4-1Persons associated with municipal advisors.240.15Bc7-1Availability of examination reports.