This is the net capital rule
This rule governs the publication of quotations for securities in a quotation medium other than a national securities exchange, i.e., over-the-counter securities
This is the rule that requires certain managers to report their larger holdings
Payment for order flow shall mean any monetary payment, service, property, or other benefit that results in remuneration, compensation, or consideration to a broker or ...
The law of insider trading is otherwise defined by judicial opinions construing Rule 10b-5, and Rule 10b5-1 does not modify the scope of insider trading ...
It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails ...
(a) As used in the rules and regulations in this part, prescribed by the Commission pursuant to Title I of the Securities Exchange Act of ...
Securities Exchange Act of 1934Section 2 -- Necessity for Regulation For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and ...
This is a books and records rule that affect broker-dealers
Securities Exchange Act of 1934Section 1 -- Short TitleThis Act may be cited as the "Securities Exchange Act of 1934."Legislative HistoryJune 6, 1934, c. 404, ...