Rules & Regulations

This section applies to every member, broker or dealer registered pursuant to Section 15 of the Act, (15 U.S.C. 78o), that is required to maintain, ...

(a) This section shall apply to every broker or dealer registered with the Commission pursuant to section 15 of the Act. (b)(1) Every broker or ...

(a) Filing of quarterly reports. (1) This paragraph (a) shall apply to every OTC derivatives dealer registered pursuant to Section 15 of the Act (15 ...

(a) This section shall apply to every member of a national securities exchange who transacts a business in securities directly with or for others than ...

Every national securities exchange and every registered national securities association shall file with the Commission at its principal office in Washington, DC, and with the ...

(a) Annual Report of the Municipal Securities Rulemaking Board. The Municipal Securities Rulemaking Board shall file annual reports with the Commission as follows: (1) Prior ...

Within ten days after issuing, or making generally available, to its participants or to other entities with whom it has a significant relationship, such as ...

(a) Scope of section. This section shall apply to any registered broker or dealer that acts as the sponsor of a broker-dealer trading system. (b) ...

(a) Every member, broker, or dealer subject to §240.17a-3 shall, upon request, electronically submit to the Commission the securities transaction information as required in this ...

(a) Where a member of SIPC is a member of more than one self-regulatory organization, the Commission shall designate by written notice to one of ...