Rules & Regulations

(a) Upon written request, copies of any report of an examination of a municipal securities dealer made by the Commission or furnished to it by ...

(a) Every government securities broker or government securities dealer that is a broker or dealer registered pursuant to section 15 or 15B of the Act ...

(a) An application for registration pursuant to Section 15C(a)(1)(A) of the Act, of a government securities broker or government securities dealer that is filed on ...

(a) In the event that a government securities broker or government securities dealer succeeds to and continues the business of a government securities broker or ...

The registration of a government securities broker or government securities dealer pursuant to section 15C of the Act shall be deemed to be the registration ...

(a) Notice of withdrawal from registration as a government securities broker or government securities dealer pursuant to Section 15C(a)(1)(A) of the Act (15 U.S.C. 78o-5(a)(1)(A)) ...

(a) General. With respect to any asset-backed security (as that term is defined in Section 3(a)(79) of the Securities Exchange Act of 1934 (15 U.S.C. ...

Terms defined in this rule shall apply solely to section 16 of the Act and the rules thereunder. These terms shall not be limited to ...

(a) The issuer or underwriter of an offering of any asset-backed security (as that term is defined in Section 3(a)(79) of the Act (15 U.S.C. ...

Any person who is the beneficial owner, directly or indirectly, of more than ten percent of any class of equity securities (“ten percent beneficial owner”) ...