Law

National and Affiliated Securities Associations (Rules 15Aa-1 to 15Bc7-1)

Rule 15Aa-1 — Registration of a national or an affiliated securities association.

Rule 15Aj-1 — Amendments and supplements to registration statements of securities associations.

Rule 15Al2-1 — [Reserved]

Rule 15Ba1-1 — Definitions.

Rule 15Ba1-2 — Registration of municipal advisors and information regarding certain natural persons.

Rule 15Ba1-3  –Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.

Rule 15Ba1-4 — Withdrawal from municipal advisor registration.

Rule 15Ba1-5 — Amendments to Form MA and Form MA-I.

Rule 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.

Rule 15Ba1-7 — Registration of successor to municipal advisor.

Rule 15Ba1-8 — Books and records to be made and maintained by municipal advisors.

Rule 15Ba2-1 — Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.

Rule 15Ba2-2 — Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.

Rule 15Ba2-4 — Registration of successor to registered municipal securities dealer.

Rule 15Ba2-5 — Registration of fiduciaries.

Rule 15Ba2-6 — [Reserved]

Rule 15Bc3-1 — Withdrawal from registration of municipal. securities dealers.

Rule 15Bc4-1 — Persons associated with municipal advisors.

Rule 15Bc7-1 — Availability of examination reports.