![]() Brokers and dealers, and their associated persons, must comply with all applicable requirements, including those of the U.S. Use of Electronic Media by Broker-DealersĬAUTION - MAKE SURE YOU FOLLOW ALL LAWS AND RULESĪlthough this guide highlights certain provisions of the Act and our rules, it is not comprehensive.Financial Responsibility of Broker-Dealers. ![]() Privacy of Consumer Financial Information (Regulation S-P).Regulation ATS: Broker-Dealer Trading Systems.Trading by Members of Exchanges, Brokers and Dealers.Restrictions on Private Securities Transactions.Trading During an Offering (Regulation M).Restrictions on Short Sales (Regulation SHO).Withdrawal from Registration Cancellation of Registration.Broker-Dealer Relationships with Affinity Groups.Real Estate Securities and Real Estate Brokers/Agents.Special Rules That Apply to Banks and Other Financial Institutions.Requirements Regarding Brokers and Dealers of Government and Municipal Securities, including Repurchase Agreements.Broker-Dealers Must Register Before Selling Unregistered Securities - Including Private Placements (or Regulation D offerings).Broker-Dealers that Limit their Business to Excluded and Exempted Securities. ![]()
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