This is a collection of pages on topics relevant to the U.S. regulation of securities broker-dealers, including banks acting as broker-dealers.
Municipal Securities Materials
Disclosure of Financial Condition
Withdrawals of Capital and Business Curtailment
Non-U.S. Broker-Dealers / SEA Rule 15a-6
Robo-Advisers; Internet Advisers; Automated Advisers
Broker-Dealer and Muni Advisor Investment Brochure
Form CRS Client Relationship Summary
Trade Confirmations (Other than Munis)
Electronic Municipal Market Access ("EMMA")
Borrowing from / Lending to Customers
Outside and Personal Activities
Sales Contests and Non-Cash Compensation
Customer Complaints; Self-Reporting of Violations
Margin for Broker-Dealers (Regulation T and FINRA Rule 4210)
Margin for Non-Broker-Dealers, U.S. Borrowers and Foreign Lenders (Regulation U and Regulation X)
Breakpoint Sales and Share Class Issues
Large Option Position Reporting ("LOPR")
Reciprocal Dealings or Shelf Space
Sales of Direct Participations
Security Futures: BD and FCM Regulation
Broker-Dealer Section 15 Registration Process
Finders, Retirees and Unregistered Persons
Separately Identifiable Bank Division
Breakpoint Sales and Share Class Issues
Gifts and Entertainment; Influencing Employees
Political Contributions (Pay to Play)
Prohibition against Guarantees against Loss and on Sharing in Accounts
Recommendations of OTC Equity Securities
Clock Synchronization and Time Stamping
Front Running and Trading Ahead
Market Access Rule (SEA Rule 15c3-5)
Muni Time of Trade Disclosures
Muni Trade Settlement and Uniform Practices
Partial Tenders and Short Tendering