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Oct. 12, 2017

The Securities Exchange Act of 1934 ("Exchange Act" or "Act") 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.

Anti-Money Laundering



Broker-Dealer Notices and Reports

Client Commission Practices

Disclosure of Order Execution and Order Routing Information

Issuer Repurchases: Rule 10b-18

Mini-Tender Offers: Broker-Dealer Guidance

Net Capital and Books & Records Guidance

Office of Broker-Dealer Finances

Senior Investors

Short Sales


Tips for Broker-Dealers on Avoiding Failures to Deliver Securities

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