Rules & Regulations

As a condition for a broker or dealer to compute certain of its deductions to capital in accordance with §240.15c3-1e, pursuant to its undertaking, the ...

(a) Definitions. For the purpose of this section: (1) The term customer shall mean any person from whom or on whose behalf a broker or ...

   Credits Debits 1. Free credit balances and other credit balances in customers' security accounts. (See Note A) XXX   2. Monies borrowed collateralized by ...

(a) An OTC derivatives dealer shall establish, document, and maintain a system of internal risk management controls to assist it in managing the risks associated ...

(a) For the purpose of this section: (1) The term market access shall mean: (i) Access to trading in securities on an exchange or alternative ...

(a) Except as provided in paragraphs (b), (c), and (d) of this section, a broker or dealer shall not effect or enter into a contract ...

Every registrant under the Securities Act of 1933 shall file an annual report, on the appropriate form authorized or prescribed therefor, for the fiscal year ...

(a) If the registration statement under the Securities Act of 1933 did not contain certified financial statements for the registrant's last full fiscal year (or ...

Annual and other reports are not required with respect to Depositary Shares registered on Form F-6. The exemption in this section does not apply to ...

A registrant that is eligible to use Forms 40-F and 6-K and files reports in accordance therewith shall be deemed to satisfy the requirements of ...