Rules Relating to Over-the-Counter Markets | Midpage

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Code of Federal Regulations

ECFRc8401dcba174f73

Rules Relating to Over-the-Counter Markets

240.15c1-1Definitions.240.15c1-2Fraud and misrepresentation.240.15c1-3Misrepresentation by brokers, dealers and municipal securities dealers as to registration.240.15c1-4[Reserved]240.15c1-5Disclosure of control.240.15c1-6Disclosure of interest in distribution.240.15c1-7Discretionary accounts.240.15c1-8Sales at the market.240.15c1-9Use of pro forma balance sheets.240.15c2-1Hypothecation of customers' securities.240.15c2-3[Reserved]240.15c2-4Transmission or maintenance of payments received in connection with underwritings.240.15c2-5Disclosure and other requirements when extending or arranging credit in certain transactions.240.15c2-6[Reserved]240.15c2-7Identification of quotations.240.15c2-8Delivery of prospectus.240.15c2-11Publication or submission of quotations without specified information.240.15c2-12Municipal securities disclosure.240.15c3-1Net capital requirements for brokers or dealers.240.15c3-1aOptions (Appendix A to 17 CFR 240.15c3-1).240.15c3-1bAdjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).240.15c3-1cConsolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).240.15c3-1dSatisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).240.15c3-1eDeductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).240.15c3-1fOptional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).240.15c3-1gConditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).240.15c3-2[Reserved]240.15c3-3Customer protection—reserves and custody of securities.240.15c3-3aExhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.240.15c3-3bExhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.240.15c3-4Internal risk management control systems for OTC derivatives dealers.240.15c3-5Risk management controls for brokers or dealers with market access.240.15c6-1Settlement cycle.240.15c6-2Same-day allocation, confirmation, and affirmation.