• Exchange Act § 3(a)(38)

• Rule 12b-2

• S-X Rule 1-02(n)

• Rule 12b-2
• Also see Underwriter

• Exchange Act § 3(a)(57)

Margin level and Level of margin

SEC_CODE_REF_0090001192884

Higher margin level and Higher level of margin

• Rule 405

• Rule 12b-2
• S-X Rule 1-02(o)

• Part 205 Rule 2(i)

• Exchange Act § 3(a)(3)

• Rule 3b-17(e)

• Exchange Act § 3(a)(41)

• Exchange Act § 3(a)(29)

Municipal securities broker

Municipal securities dealer

Municipal securities investment portfolio

Person associated with a municipal securities dealer

• Exchange Act § 3(a)(30)