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

General Rules and Regulations
under the
Securities Exchange Act of 1934

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

    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

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.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved