Broker-Dealer Topics

This is a collection of pages on topics relevant to the U.S. regulation of securities broker-dealers, including banks acting as broker-dealers.

Special Products and Firms

Government Securities

Government Securities Dealers

Government Securities Broker-Dealers: Registration Requirement

Large Position Reports

Other Types of Firms

Non-U.S. Broker-Dealer (Rule 15a-6)

Transfer Agents

Munis

Overview 

Back Office 

Customers 

Distributions 

Employees 

General Conduct 

Registration 

Sales 

Trading