Broker-Dealers
The Securities Exchange Act of 1934 governs the way in which the nation's securities markets and its brokers and dealers operate. This section contains some of the significant provisions of the Act and its rules. You will find information about whether you need to register as a broker-dealer and how you can register, as well as the standards of conduct and the financial responsibility rules that broker-dealers must follow.
Electronic Recordkeeping
FOIA Information
Foreign Broker-Dealers: Rule 15a-6
Government Securities/U.S. Treasuries
Material Nonpublic Information: Section 15(g) Reports
Registered Representatives
Registration
Regulation Best Interest
Regulation M
SEC Rules Relating to Privacy and Identity Theft
Securities Analysts
Last Reviewed or Updated: March 10, 2016