Broker-Dealer Registration

Statutory Requirements

Brokers and dealers must register with SEC

Unless exempt
Per Exchange Act §15

Definitions

Broker
Dealer

Exemptions from registration

Rules 15a-1 to 15a-10

Registration requirements

Rules 15b1-1 to 15b11-1

Exemptions from Registration Rules 15a-1 to 15a-10

Rule 15a-1 OTC Derivatives Dealers

Rule 15a-1

Rule 15a-2 Exemption for Cooperative Apartment Houses

Rule 15a-2

Rule 15a-3 [Reserved]

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Rule 15a-4 Members of National Securities Exchanges

Rule 15a-4

Rule 15a-5 SBA Lenders

Rule 15a-5

Rule 15a-6 Foreign Brokers or Dealers

Rule 15a-6

Rule 15a-7 Exemption for Banks from Section 29 Liability

Rule 15a-7

Rule 15a-8 Security Futures Products

Rule 15a-8

Rule 15a-9 Securities Activities of OTC Derivatives Dealers

Rule 15a-9

Rule 15a-10 Banks Engaging in Securities Lending

Rule 15a-10

Registration Requirements Rules 15b1-1 to 15b11-1

Rule 15b1-1 Registration application

Rule 15b1-1

Rule 15b1-2 [Reserved]

_____

Rule 15b1-3 Registration of successors

Rule 15b1-3

Rule 15b1-4 Registration of fiduciaries

Rule 15b1-4

Rule 15b1-5 Consent to service of process

Rule 15b1-5

Rule 15b2-2 Inspection of the newly registered

Rule 15b2-2

Rule 15b3-1 Amendments to application

Rule 15b3-1

Rule 15b5-1 Extension of registration (SIPA)

Rule 15b5-1

Rule 15b6-1 Withdrawal from registration

Rule 15b6-1

Rule 15b7-1 Compliance with SRO requirements

Rule 15b7-1

Rule 15b7-3T Year 2000

Add rule

Rule 15b9-1 Exemption for Certain Exchange Member

Rule 15b9-1

Rule 15b9-2 Exemption for OTC Derivatives Dealers

Rule 15b9-2

Rule 15b11-1 Security futures product broker-dealers

Rule 15b11-1

SEC Forms

Form BD Registration

Form BD-N Registration - Securities Future Products

Form BDW Withdrawal

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