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

Rules Relating to Over-the-Counter Markets (Rules 15c1-1 to 15c6-1)

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Rule 15c1-1 -- Definitions

Rule 15c1-2 -- Fraud and Misrepresentation

Rule 15c1-3 -- Misrepresentation by Brokers, Dealers and Municipal Securities Dealers as to Registration

Rule 15c1-4 -- [Reserved]

Rule 15c1-5 -- Disclosure of Control

Rule 15c1-6 -- Disclosure of Interest in Distribution

Rule 15c1-7 -- Discretionary Accounts

Rule 15c1-8 -- Sales at the Market

Rule 15c1-9 -- Use of Pro Forma Balance Sheets

Rule 15c2-1 -- Hypothecation of Customers' Securities

Rule 15c2-3 -- [Reserved]

Rule 15c2-4 -- Transmission or Maintenance of Payments Received in Connection with Underwritings

Rule 15c2-5 -- Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions

Rule 15c2-6 -- [Reserved]

Rule 15c2-7 -- Identification of Quotations

Rule 15c2-8 -- Delivery of Prospectus

Rule 15c2-11 -- Initiation or Resumption of Quotations without Specific Information

Rule 15c2-12 -- Municipal Securities Disclosure

Rule 15c3-1 -- Net Capital Requirements for Brokers or Dealers

Appendix A to Rule 15c3-1 -- Options

Appendix B to Rule 15c3-1 -- Adjustments to Net Worth and Aggregte Indebtedness for Certain Commodities Transactions

Appendix C to Rule 15c3-1 -- Consolidated Computations of Net Capital and Aggregate Indebtedness for Certain Subsidiaries and Affiliates

Appendix D to Rule 15c3-1 -- Satisfactory Subordination Agreements

Appendix E to Rule 15c3-1 -- Deductions for Market and Credit Risk for Certain Brokers or Dealers

Appendix F to Rule 15c3-1 -- Optional Market and Credit Risk Requirements for OTC Derivatives Dealers

Appendix G to Rule 15c3-1g -- Conditions for ultimate holding companies of certain brokers or dealers




Rule 15c3-2 -- Customers' Free Credit Balances

Rule 15c3-3 -- Customer Protection--Reserves and Custody of Securities

Rule 15c3-3a -- Exhibit A--Formula for Determination of Reserve Requirement of Brokers and Dealers Under Rule 15c3-3

Rule 15c3-4 -- Internal Risk Management Control Systems for OTC Derivatives Dealers

Rule 15c6-1 -- Settlement Cycle

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