Act

Securities Exchange Act of 1934Section 15A -- Registered Securities AssociationsRegistration; applicationAn association of brokers and dealers may be registered as a national securities association pursuant ...

Securities Exchange Act of 1934Section 14 -- Proxies Solicitation of proxies in violation of rules and regulationsIt shall be unlawful for any person, by the ...

This is a books and records rule that affect broker-dealers

Securities Exchange Act of 1934Section 12 -- Registration Requirements for SecuritiesGeneral requirement of registrationIt shall be unlawful for any member, broker, or dealer to effect ...

Securities Exchange Act of 1934Section 6 -- National Securities Exchanges Registration; applicationAn exchange may be registered as a national securities exchange under the terms and ...

Securities Exchange Act of 1934Section 19 -- Registration, Responsibilities, and Oversight of Self-Regulatory OrganizationsRegistration procedures; notice of filing; other regulatory agenciesThe Commission shall, upon the ...

Securities Exchange Act of 1934Section 17 -- Records and ReportsRules and regulationsEvery national securities exchange, member thereof, broker or dealer who transacts a business in ...

Securities Exchange Act of 1934Section 15C -- Government Securities Brokers and DealersRegistration requirements; notice to regulatory agencies; manner of registration; exemption from registration requirementsIt shall ...

Securities Exchange Act of 1934Section 13 -- Periodical and Other Reports Reports by issuer of security; contentsEvery issuer of a security registered pursuant to Section ...

Securities Exchange Act of 1934Section 15 -- Registration and Regulation of Brokers and Dealers Registration of all persons utilizing exchange facilities to effect transactions; exemptionsIt ...