Rules & Regulations

(a) Requirement. It shall be unlawful for any broker or dealer that has effected the sale to any customer, other than in a transaction that ...

As a means reasonably designed to prevent fraudulent, deceptive, or manipulative acts or practices, it shall be unlawful for any person to sell or offer ...

(a) As a means reasonably designed to prevent fraudulent, deceptive, or manipulative acts or practices, it shall be unlawful for a broker or dealer to ...

SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 15G Under the Securities Exchange Act of 1934 Instructions to Schedule 15G A. Schedule 15G (Schedule) may ...

Any application for registration of an association as a national, or as an affiliated, securities association shall be made in triplicate on Form X-15AA-1 accompanied ...

Every association applying for registration or registered as a national securities association or as an affiliated securities association shall keep its registration statement up-to-date in ...

As used in the rules and regulations prescribed by the Commission pursuant to section 15B of the Act (15 U.S.C. 78o-4) in §§240.15Ba1-1 through 240.15Ba1-8 ...

(a) Form MA. A person applying for registration with the Commission as a municipal advisor pursuant to section 15B of the Act (15 U.S.C. 78o-4) ...

A natural person municipal advisor shall be exempt from section 15B(a)(1)(B) of the Act (15 U.S.C. 78o-4(a)(1)(B)) if he or she: (a) Is an associated ...

(a) Form MA-W. Notice of withdrawal from registration as a municipal advisor shall be filed on Form MA-W (17 CFR 249.1320) in accordance with the ...