Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





Rules Relating to Over-the-Counter Markets (Rules 15c1-1 to 15c6-1)


    Rule 15c1-1 -- Definitions

    Rule 15c1-2 -- Fraud and Misrepresentation

    Rule 15c1-3 -- Misrepresentation by Brokers, Dealers and Municipal Securities Dealers as to Registration

    Rule 15c1-4 -- [Reserved]

    Rule 15c1-5 -- Disclosure of Control

    Rule 15c1-6 -- Disclosure of Interest in Distribution

    Rule 15c1-7 -- Discretionary Accounts

    Rule 15c1-8 -- Sales at the Market

    Rule 15c1-9 -- Use of Pro Forma Balance Sheets

    Rule 15c2-1 -- Hypothecation of Customers' Securities

    Rule 15c2-3 -- [Reserved]

    Rule 15c2-4 -- Transmission or Maintenance of Payments Received in Connection with Underwritings

    Rule 15c2-5 -- Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions

    Rule 15c2-6 -- [Reserved]

    Rule 15c2-7 -- Identification of Quotations

    Rule 15c2-8 -- Delivery of Prospectus

    Rule 15c2-11 -- Initiation or Resumption of Quotations without Specific Information

    Rule 15c2-12 -- Municipal Securities Disclosure

    Rule 15c3-1 -- Net Capital Requirements for Brokers or Dealers


    Rule 15c3-2 -- Customers' Free Credit Balances

    Rule 15c3-3 -- Customer Protection--Reserves and Custody of Securities

    Rule 15c3-3a -- Exhibit A--Formula for Determination of Reserve Requirement of Brokers and Dealers Under Rule 15c3-3

    Rule 15c3-4 -- Internal Risk Management Control Systems for OTC Derivatives Dealers

    Rule 15c6-1 -- Settlement Cycle



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