Rules & Regulations

A transaction effected by a member of a national securities exchange for the account of an OTC derivatives dealer that is an associated person of ...

(a) A member of a national securities exchange (the “initiating member”) may not effect a transaction on that exchange for its own account, the account ...

(a)(1) The rules of a national securities exchange may permit a member of such exchange to register as a specialist and to act as a ...

A security shall be exempt from the provisions of section 11(d)(1) with respect to any transaction by a broker and dealer who, directly or indirectly ...

Any securities issued by a registered open-end investment company or unit investment trust as defined in the Investment Company Act of 1940 shall be exempted ...

A broker or dealer registered pursuant to section 15(b)(1) of the Act (15 U.S.C. 78o(b)(1)) that is also a futures commission merchant registered pursuant to ...

(a) When used in this section, the following terms shall have the meaning indicated unless the context otherwise requires: (1) The term warrant means any ...

(a)(1) Subject to the conditions of paragraph (a)(2) of this section, whenever the holders of a security admitted to trading on a national securities exchange ...

(a) When used in this rule, the following terms shall have the meanings indicated unless the context otherwise requires: (1) The term option shall include ...

(a) Any component stock of a standardized market basket shall be exempt from the registration requirement of section 12(a) of the Act, solely for the ...