Registration of Brokers and Dealers (Rules 15a-6 to 15b11-1)


Rule 15a-6 — Exemption of certain foreign brokers or dealers.

Rule 15a-7 — [Reserved]

Rule 15a-8 — [Reserved]

Rule 15a-9 — [Reserved]

Rule 15a-10 — Exemption of certain brokers or dealers with respect to security futures products.

Rule 15a-11 — [Reserved]

Rule 15b1-1 — Application for registration of brokers or dealers.

Rule 15b1-2 — [Reserved]

Rule 15b1-3 — Registration of successor to registered broker or dealer.

Rule 15b1-4 — Registration of fiduciaries.

Rule 15b1-5 — Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.

Rule 15b1-6 — Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.

Rule 15b2-2 — Inspection of newly registered brokers and dealers.

Rule 15b3-1 — Amendments to application.

Rule 15b5-1 — Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.

Rule 15b6-1 — Withdrawal from registration.

Rule 15b7-1 — Compliance with qualification requirements of self-regulatory organizations.

Rule 15b7-3T — Operational capability in a Year 2000 environment.

Rule 15b9-1 — Exemption for certain exchange members.

Rule 15b9-2 — Exemption from SRO membership for OTC derivatives dealers.

Rule 15b11-1 — Registration by notice of security futures product broker-dealers.