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(a) If the information contained in any application for registration as a broker or dealer, or in any amendment thereto, is or becomes inaccurate for ...
Commission revocation or cancellation of the registration of a broker or dealer pursuant to section 15(b) of the Act: (i) shall be effective for all ...
(a) Notice of withdrawal from registration as a broker or dealer pursuant to Section 15(b) of the Act shall be filed on Form BDW (17 ...
No registered broker or dealer shall effect any transaction in, or induce the purchase or sale of, any security unless any natural person associated with ...
(a) This section applies to every broker or dealer registered pursuant to Section 15 of the Act, (15 U.S.C. 78o) that uses computers in the ...
(a) Any broker or dealer required by section 15(b)(8) of the Act to become a member of a registered national securities association shall be exempt ...
An OTC derivatives dealer, as defined in §240.3b-12, shall be exempt from any requirement under section 15(b)(8) of the Act (15 U.S.C. 78o(b)(8)) to become ...
(a) A broker or dealer may register by notice pursuant to section 15(b)(11)(A) of the Act (15 U.S.C. 78o(b)(11)(A)) if it: (1) Is registered with ...
As used in any rule adopted pursuant to section 15(c)(1) of the Act: (a) The term customer shall not include a broker or dealer or ...
(a) The term manipulative, deceptive, or other fraudulent device or contrivance, as used in section 15(c)(1) of the Act (section 2, 52 Stat. 1075; 15 ...