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Title 17

Displaying title 17, up to date as of 10/08/2026. Title 17 was last amended 10/08/2026.
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Title 17Commodity and Securities ExchangesPart / Section
Chapter IISecurities and Exchange Commission200 – 399
Part 240General Rules and Regulations, Securities Exchange Act of 1934240.0-1 – 240.36a1-2
Registration of Brokers and Dealers240.15a-6 – 240.15b11-1
§ 240.15a-6Exemption of certain foreign brokers or dealers.
§§ 240.15a-7-240.15a-9 [Reserved]
§ 240.15a-10Exemption of certain brokers or dealers with respect to security futures products.
§ 240.15a-11 [Reserved]
§ 240.15a-12Exemption for certain security-based swap execution facilities from certain broker requirements.
§ 240.15b1-1Application for registration of brokers or dealers.
§ 240.15b1-2 [Reserved]
§ 240.15b1-3Registration of successor to registered broker or dealer.
§ 240.15b1-4Registration of fiduciaries.
§ 240.15b1-5Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.
§ 240.15b1-6Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
§ 240.15b2-2Inspection of newly registered brokers and dealers.
§ 240.15b3-1Amendments to application.
§ 240.15b5-1Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
§ 240.15b6-1Withdrawal from registration.
§ 240.15b7-1Compliance with qualification requirements of self-regulatory organizations.
§ 240.15b7-3TOperational capability in a Year 2000 environment.
§ 240.15b9-1Exemption for certain exchange members.
§ 240.15b9-2Exemption from SRO membership for OTC derivatives dealers.
§ 240.15b11-1Registration by notice of security futures product broker-dealers.