Rules & Regulations

(a) Scope of section. This section shall apply to any person who effects any purchase of a security subject to §242.104 of this chapter for ...

(a) Every member of a national securities exchange who transacts a business in securities directly with others than members of a national securities exchange, and ...

(a) Filing of monthly and quarterly reports. (1) This paragraph (a) shall apply to every broker or dealer registered pursuant to section 15 of the ...

(a) Any document kept by or on file with a national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board ...

(a)(1) Except as provided in paragraphs (b) and (c) of this section, each non-resident broker or dealer registered or applying for registration pursuant to section ...

Every registered broker or dealer who is subject to the requirements of the Currency and Foreign Transactions Reporting Act of 1970 shall comply with the ...

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 ...