Rules relating to Over-the-Counter Markets (Rules 15c1-1 to 15c6-1)


Rule 15c1-1 — Definitions.

Rule 15c1-2 — Fraud and misrepresentation.

Rule 15c1-3 — Misrepresentation by brokers, dealers and municipal securities dealers as to registration.

Rule 15c1-4 — [Reserved]

Rule 15c1-5 — Disclosure of control.

Rule 15c1-6 — Disclosure of interest in distribution.

Rule 15c1-7 — Discretionary accounts.

Rule 15c1-8 — Sales at the market.

Rule 15c1-9 — Use of pro forma balance sheets.

Rule 15c2-1 — Hypothecation of customers’ securities.

Rule 15c2-3 — [Reserved]

Rule 15c2-4 — Transmission or maintenance of payments received in connection with underwritings.

Rule 15c2-5 — Disclosure and other requirements when extending or arranging credit in certain transactions.

Rule 15c2-6 — [Reserved]

Rule 15c2-7 — Identification of quotations.

Rule 15c2-8 — Delivery of prospectus

Rule 15c2-11 — Initiation or resumption of quotations without specific information.

Rule 15c2-12 — Municipal securities disclosure.

Rule 15c3-1 — Net capital requirements for brokers or dealers.

Rule 15c3-1a — Options (Appendix A to Rule 15c3-1).

Rule 15c3-1b — Adjustments to net worth and aggregate indebtedness for certain commodities transactions (Appendix B to Rule 15c3-1).

Rule 15c3-1c — Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (Appendix C to Rule 15c3-1).

Rule 15c3-1d — Satisfactory Subordination Agreements (Appendix D to Rule 15c3-1).

Rule 15c3-1e — Deductions for market and credit risk for certain brokers or dealers (Appendix E to Rule 15c3-1).

Rule 15c3-1f — Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to Rule 15c3-1).

Rule 15c3-1g — Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to Rule 15c3-1).

Rule 15c3-2 — [Reserved]

Rule 15c3-3 — Customer protection–reserves and custody of securities.

Rule 15c3-3a — Exhibit Aformula for determination reserve requirement of brokers and dealers under Rule 15c3-3.

Rule 15c3-3b — Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3–3.

Rule 15c3-4 — Internal risk management control systems for OTC derivatives dealers.

Rule 15c3-5 — Risk management controls for brokers or dealers with market access.

Rule 15c6-1 — Settlement cycle.

Rule 15c6-2 — Same-day allocation, confirmation, and affirmation.