Subjgrp 104. National and Affiliated Securities Associations
- § 240.15aa-1 - Registration of a national or an affiliated securities association.
- § 240.15aa-2 - Amendments and supplements to registration statements of securities associations.
- § 240.15Al2-1 - [Reserved]
- § 240.15Ba1-1 - Definitions.
- § 240.15Ba1-2 - Registration of municipal advisors and information regarding certain natural persons.
- § 240.15Ba1-3 - Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
- § 240.15Ba1-4 - Withdrawal from municipal advisor registration.
- § 240.15Ba1-5 - Amendments to Form MA and Form MA-I.
- § 240.15Ba1-6 - Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
- § 240.15Ba1-7 - Registration of successor to municipal advisor.
- § 240.15Ba1-8 - Books and records to be made and maintained by municipal advisors.
- § 240.15Ba2-1 - Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
- § 240.15Ba2-2 - Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
- § 240.15Ba2-4 - Registration of successor to registered municipal securities dealer.
- § 240.15Ba2-5 - Registration of fiduciaries.
- § 240.15Ba2-6 - [Reserved]
- § 240.15Bc3-1 - Withdrawal from registration of municipal securities dealers.
- § 240.15Bc4-1 - Persons associated with municipal advisors.
- § 240.15Bc7-1 - Availability of examination reports.