Federal Register - September 29, 2021
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Source: Federal Register
Federal Register / Vol. 86, No. 186 / Wednesday, September 29, 2021 / Notices General 9, Section 11. Best Execution and Interpositioning.
General 9, Section 12. Customer Account Statements.
General 9, Section 13. Margin Disclosure Statement.
General 9, Section 14. Approval Procedures for Day-Trading Accounts.
General 9, Section 11. Best Execution and Interpositioning.
General 9, Section 12. Customer Account Statements.
General 9, Section 13. Margin Disclosure Statement.
General 9, Section 14. Approval Procedures for Day-Trading Accounts.
General 9, Section 15. Borrowing From or Lending to Customers.
General 9, Section 16. Charges for Services Performed.
General 9, Section 18. Payments for Market Making.
General 9, Section 19. Discretionary Accounts General 9, Section 20. Supervision
General 9, Section 21a. Supervisory Control System, Annual Certification of Compliance and Supervisory Processes.
General 9, Section 21c. Supervisory Control System, Annual Certification of Compliance and Supervisory Processes.
General 9, Section 23. Outside Business Activities of an Associated Person.
General 9, Section 24. Private Securities Transactions of an Associated Person.
General 9, Section 25. Transactions for or by Associated Persons.
General 9, Section 26. Influencing or Rewarding Employees of Others.
General 9, Section 27. Reporting Requirements.
General 9, Section 28. Disclosure to Associated Persons When Signing Form U4.
General 9, Section 15. Borrowing From or Lending to Customers.
General 9, Section 16. Charges for Services Performed.
General 9, Section 18. Payments for Market Making.
General 9, Section 19. Discretionary Accounts General 9, Section 20. Supervision
General 9, Section 21a. Supervisory Control System, Annual Certification of Compliance and Supervisory Processes.
General 9, Section 21c. Supervisory Control System, Annual Certification of Compliance and Supervisory Processes.
General 9, Section 23. Outside Business Activities of an Associated Person.
General 9, Section 24. Private Securities Transactions of an Associated Person.
General 9, Section 25. Transactions for or by Associated Persons.
General 9, Section 26. Influencing or Rewarding Employees of Others.
General 9, Section 27. Reporting Requirements.
General 9, Section 28. Disclosure to Associated Persons When Signing Form U4.
General 9, Section 30. Books and Records, Section 43. General Requirements.
General 9, Section 31. Use of Information Obtained in Fiduciary Capacity.
General 9, Section 37. Anti-Money Laundering Compliance Program.
General 9, Section 39. Fidelity Bonds
General 9, Section 30. Books and Records, d Record of Written Complaints; e Complaint Defined.
General 9, Section 30. Books and Records, b Customer Account Information.
General 9, Section 30. Books and Records, g Negotiable Instruments Drawn From A Customers Account.
General 9, Section 30. Books and Records, j Changes in Account Name or Designation.
General 9, Section 30. Books and Records, Section 43. General Requirements.
General 9, Section 31. Use of Information Obtained in Fiduciary Capacity.
General 9, Section 37. Anti-Money Laundering Compliance Program.
General 9, Section 39. Fidelity Bonds
General 9, Section 44. Records of Written Customer Complaints.
General 9, Section Publications that of a Security.
General 9, Section General 9, Section
49. Payments Involving Influence the Market Price 50. Foreign Members
51. Research Analysts
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General 9, Section 71. Custodian of Books and Records.
Equity 9, Section 1 Adjustment of Open Orders Equity 9, Section 3. Publication of Transactions and Quotations.
Equity 9, Section 10. Prompt Receipt and Delivery of Securities.
Equity 10, Section 1. Direct Participation Programs.
Equity 10, Section 2. Investment Company Securities.
2841. General
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General 9, Section 45. Customer Account Information.
General 9, Section 46. Authorization Records for Negotiable Instruments Drawn From a Customers Account.
General 9, Section 47. Approval and Documentation of Changes in Account Name or Designation.
General 9, Section 49. Payments Involving Publications that Influence the Market Price of a Security.
General 9, Section 50. Foreign Members
General 9, Section 51. Research Analyst
General 9, Section 71. Custodian of Books and Records.
Equity 9, Section 1. Adjustment of Open Orders.
Equity 9, Section 3. Publication of Transactions and Quotations.
Equity 9, Section 10. Prompt Receipt and Delivery of Securities.
Equity 10, Section 1. Direct Participation Programs.
Equity 10, Section 2. Investment Company Securities.
Equity 10, Section 3a. General
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5310. Best Execution and Interpositioning.
2231. Customer Account Statements.
2264. Margin Disclosure Statement.
2130. Approval Procedures for Day-Trading Accounts and Rule 2270 Day-Trading Risk Disclosure Statement.
3240. Borrowing From or Lending to Customers.
2122. Charges for Services Performed.
5250. Payments for Market Making.
3260. Discretionary Accounts.
3110. Supervision.
3120. Supervisory Control System.
3130. Annual Certification of Compliance and Supervisory Processes.
3270. Outside Business Activities of an Associated Person.
3280. Private Securities Transactions of an Associated Person.
3210. Accounts at Other Broker-Dealers and Financial Institutions.
3220. Influencing or Rewarding Employees of Others.
4530. Reporting Requirements.
2263. Arbitration Disclosure to Associated Persons When Signing or Acknowledging Form U4.
4511. General Requirements.
2060. Use of Information Obtained in Fiduciary Capacity.
3310. Anti-Money Laundering Compliance Program.
4360. Fidelity Bonds.
4513. Records of Written Customer Complaints.
4512. Customer Account Information.
4514. Authorization Records for Negotiable Instruments Drawn From a Customers Account.
4515. Approval and Documentation of Changes in Account Name or Designation.
5230. Payments Involving Publications that Influence the Market Price of a Security.
1021. Foreign Members.
2241. Research Analysts and Research Reports.
4570. Custodian of Books and Record, a Designation of Custodian.
5330. Adjustment of Orders.
5210. Publication of Transactions and Quotations.
11860a4A. Purchases.
2310. Direct Participation Programs.
2341. Investment Company Securities.
2351a. General Provisions Applicable to Trading in Index Warrants, Currency Index Warrants and Currency Warrants.
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