Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Registration of Brokers and Dealers (Rules 15a-6 to 15b11-1)

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Rule 15a-6 -- Exemption of Certain Foreign Brokers or Dealers

Rule 15a-7 -- Exemption from the Definitions of "Broker" or "Dealer" for Banks for Limited Period of Time

Rule 15a-8 -- Exemption for Banks from Section 29 Liability

Rule 15a-9 -- Exemption from the Definitions of "Broker" and "Dealer" for Savings Associations and Savings Banks

Rule 15a-10 -- Exemption of Certain Brokers or Dealers with Respect to Security Futures Products

Rule 15a-11 -- Exemption from the Definitions of "Broker" and "Dealer" for Banks Engaging in Securities Lending Transactions

Rule 15b1-1 -- Application for Registration of Brokers or Dealers

Rule 15b1-2 -- [Reserved]

Rule 15b1-3 -- Registration of Successor to Registered Broker or Dealer

Rule 15b1-4 -- Registration of Fiduciaries

Rule 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

Rule 15b2-2 -- Inspection of Newly Registered Brokers and Dealers

Rule 15b3-1 -- Amendments to Application

Rule 15b5-1 -- Extension of Registration for Purposes of the Securities Investor Protection Act of 1970 after Cancellation or Revocation

Rule 15b6-1 -- Withdrawal from Registration

Rule 15b7-1 -- Compliance with Qualification Requirements of Self-Regulatory Organizations

Rule 15b7-3T -- Operational Capability in a Year 2000 Environment

Rule 15b9-1 -- Exemption for Certain Exchange Members

Rule 15b9-2 -- Exemption from SRO Membership for OTC Derivatives Dealers





Rules Relating to Over-the-Counter Markets

Rule 15b11-1 -- Registration by Notice of Security Futures Product Broker-Dealers

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