General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 15Ca2-4 -- Registration of Fiduciaries
The registration of a government securities broker or government securities dealer
pursuant to Section 15C of the Act shall be
deemed to be the registration of any executor, administrator, guardian, conservator,
assignee for the benefit of creditors, receiver, trustee in insolvency or bankruptcy,
or other fiduciary, appointed or qualified by order, judgment, or decree of a
court of competent jurisdiction to continue the business of such registered government
securities broker or government securities dealer, provided that such fiduciary
files with the Commission, no more than 30 days after entering upon the performance
of its duties, a statement setting forth as to such fiduciary substantially the
information required by Form BD.
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