Rules & Regulations

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 ...

(a) Any two or more self-regulatory organizations may file with the Commission within ninety (90) days of the effective date of this rule, and thereafter ...

(a) Definitions. For purposes of this section: (1) The term reporting institution shall include every national securities exchange, member thereof, registered securities association, broker, dealer, ...

(a) Exemptions for the fingerprinting requirement. Except as otherwise provided in paragraph (a)(1) or (2) of this section, every member of a national securities exchange, ...

(a) Initial application. A credit rating agency applying to the Commission to be registered under section 15E of the Act (15 U.S.C. 78o-7) as a ...