Registration of Brokers and Dealers (Rules 15a-6 to 15b11-1)

Rule 15a-6 – Exemption of certain foreign brokers or dealers.

Rule 15a-7--240.15a-9 [Reserved]

Rule 15a-10  – Exemption of certain brokers or dealers with respect to security futures products.

Rule 15a-11  – [Reserved]

Rule 15a-12  – Exemption for certain security-based swap execution facilities from certain broker requirements.

Rule 15b1-1  – Application for registration of brokers or dealers.

Rule 15b1-2  – [Reserved]

Rule 15b1-3  – Registration of successor to registered broker or dealer.

Rule 15b1-4  – Registration of fiduciaries.

Rule 15b1-5  – Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.

Rule 15b1-6  – Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.

Rule 15b2-2  – Inspection of newly registered brokers and dealers.

Rule 15b3-1  – Amendments to application.

Rule 15b5-1  – Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.

Rule 15b6-1  – Withdrawal from registration.

Rule 15b7-1  – Compliance with qualification requirements of self-regulatory organizations.

Rule 15b7-3T  – Operational capability in a Year 2000 environment.

Rule 15b9-1  – Exemption for certain exchange members.

Rule 15b9-2  – Exemption from SRO membership for OTC derivatives dealers.

Rule 15b11-1  – Registration by notice of security futures product broker-dealers.