Rules & Regulations

(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”) ...

(a) Initial statements of beneficial ownership of equity securities required by section 16(a) of the Act shall be filed on Form 3. Statements of changes ...

(a) For purposes of section 16 of the Act, both derivative securities and the underlying securities to which they relate shall be deemed to be ...

Transactions by an odd-lot dealer (a) in odd-lots as reasonably necessary to carry on odd-lot transactions, or (b) in round lots to offset odd-lot transactions ...