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

National and Affiliated Securities Associations (Rules 15Aa-1 to 15Bc7-1)

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Rule 15Aa-1 -- Registration of a National or an Affiliated Securities Association

Rule 15Aj-1 -- Amendments and Supplements to Registration Statements of Securities Associations

Rule 15Al2-1 -- [Reserved]

Rule 15Ba2-1 -- Application for Registration of Municipal Securities Dealers Which Are Banks or Separately Identifiable Departments or Divisions of Banks

Rule 15Ba2-2 -- Application for Registration of Non-Bank Municipal Securities Dealers Whose Business is Exclusively Intrastate

Rule 15Ba2-4 -- Registration of Successor to Registered Municipal Securities Dealer

Rule 15Ba2-5 -- Registration of Fiduciaries

Rule 15Ba2-6 -- [Reserved]

Rule 15Bc3-1 -- Withdrawal from Registration of Municipal Securities Dealers

Rule 15Bc7-1 -- Availability of Examination Reports

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