Govt. Securities and Dealers

Overview

The material on this page is intended to provide a fairly comprehensive overview of the regulation of U.S. government securities and government securities dealers. There is also a page focused specifically on the reporting of Large Positions in U.S. government securities and another on the Registration Requirement, and exemptions, applicable to dealers in U.S. government securities. For general information on broker-dealers and the securities markets, see the page entitled BDs and Markets.

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SA Sections and Rules

SEA Sections, Rules, and Letters

FINRA