Oct. 12, 2017
Government Securities/U.S. Treasuries
Material Nonpublic Information: Section 15(g) Reports
- Broker-Dealer Internal Control Procedures for High Yield Securities (October 1993; 14 pages; PDF; 1.3 MB)
- Broker-Dealer Policies and Procedures Designed to Segment the Flow and Prevent the Misuse of Material Non-Public Information (March 1990; 29 pages; PDF; 6 KB)
The term "person associated with a broker or dealer" or "associated person of a broker or dealer" means any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), any person directly or indirectly controlling, controlled by, or under common control with such broker or dealer, or any employee of such broker or dealer, except that any person associated with a broker or dealer whose functions are solely clerical or ministerial shall not be included in the meaning of such term for purposes of section 15(b) (other than paragraph (6) thereof).
SEC Rules Relating to Privacy and Identity Theft