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

Registration of Government Securities Brokers and Government Securities Dealers (Rules 15Ca1-1 to 15Cc1-1)

---

Rule 15Ca1-1 -- Notice of Government Securities Broker-Dealer Activities

Rule 15Ca2-1 -- Application for Registration as a Government Securities Broker or Government Securities Dealer

Rule 15Ca2-2 -- [Reserved]

Rule 15Ca2-3 -- Registration of Successor to Registered Government Securities Broker or Government Securities Dealer

Rule 15Ca2-4 -- Registration of Fiduciaries

Rule 15Ca2-5 -- Consent to Service of Process to Be Furnished by Non-Resident Government Securities Brokers or Government Securities Dealers and by Non-Resident General Partners or Managing Agents of Government Securities Brokers or Government Securities Dealers

Rule 15Cc1-1 -- Withdrawal from Registration of Government Securities Brokers or Government Securities Dealers

	Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.   © Copyright 1998-2009, University of Cincinnati, All Rights Reserved  Contact: ronald.jones@uc.edu