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


General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





Registration of Brokers and Dealers (Rules 15a-6 to 15b11-1)


    Rule 15a-6 -- Exemption of Certain Foreign Brokers or Dealers

    Rule 15a-7 -- Exemption from the Definitions of "Broker" or "Dealer" for Banks for Limited Period of Time

    Rule 15a-8 -- Exemption for Banks from Section 29 Liability

    Rule 15a-9 -- Exemption from the Definitions of "Broker" and "Dealer" for Savings Associations and Savings Banks

    Rule 15a-10 -- Exemption of Certain Brokers or Dealers with Respect to Security Futures Products

    Rule 15a-11 -- Exemption from the Definitions of "Broker" and "Dealer" for Banks Engaging in Securities Lending Transactions

    Rule 15b1-1 -- Application for Registration of Brokers or Dealers

    Rule 15b1-2 -- [Reserved]

    Rule 15b1-3 -- Registration of Successor to Registered Broker or Dealer

    Rule 15b1-4 -- Registration of Fiduciaries

    Rule 15b1-5 -- Consent to Service of Process to Be Furnished by Nonresident Brokers or Dealers and by Nonresident General Partners or Managing Agents of Brokers or Dealers

    Rule 15b2-2 -- Inspection of Newly Registered Brokers and Dealers

    Rule 15b3-1 -- Amendments to Application

    Rule 15b5-1 -- Extension of Registration for Purposes of the Securities Investor Protection Act of 1970 after Cancellation or Revocation

    Rule 15b6-1 -- Withdrawal from Registration

    Rule 15b7-1 -- Compliance with Qualification Requirements of Self-Regulatory Organizations

    Rule 15b7-3T -- Operational Capability in a Year 2000 Environment

    Rule 15b9-1 -- Exemption for Certain Exchange Members

    Rule 15b9-2 -- Exemption from SRO Membership for OTC Derivatives Dealers



    Rules Relating to Over-the-Counter Markets

    Rule 15b11-1 -- Registration by Notice of Security Futures Product Broker-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.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved
 Contact: ronald.jones@uc.edu