Article 9. Regulation of Broker-Dealers and Agents
- § 260.216. Fraud and Misrepresentation.
- § 260.216.1. Definitions.
- § 260.216.2. Confirmation of Transactions.
- § 260.216.3. Disclosure of Control of Issuer.
- § 260.216.4. Disclosure of Interest in Distributions.
- § 260.216.4.1. Disclosure of Compensation from Financial Planning Activities.
- § 260.216.5. Churning.
- § 260.216.6. Record of Transactions in Discretionary Accounts.
- § 260.216.7. Control of the Market.
- § 260.216.8. Hypothecation of Customers' Securities.
- § 260.216.9. Transmission or Maintenance of Payments Received in Connection with Underwritings.
- § 260.216.10. Disclosure and Other Requirements when Extending or Arranging Credit in Certain Transactions.
- § 260.216.11. Identification of Quotations.
- § 260.216.12. Minimum Capital Requirement for Broker-Dealers.
- § 260.216.12.1. Reserve and Custody Requirements.
- § 260.216.13. Ratio of Net Capital to Aggregate Indebtedness. [Repealed]
- § 260.216.14. Use of Customer Free-Credit Balance.
- § 260.216.15. Bond Requirement.
- § 260.216.16. Dual Employment or Affiliation.
- § 260.217. Qualifications of Broker-Dealers, Compliance Supervisors and Reported Agents.
- § 260.217.1. Qualifications of Agents. [Repealed]
- § 260.218. Just and Equitable Principles of Trade.
- § 260.218.1. Mark-Ups and Mark-Downs.
- § 260.218.2. Suitability of Recommendations.
- § 260.218.3. Free-Riding and Withholding.
- § 260.218.4. Supervision of Agents.
- § 260.218.5. Record Keeping. [Repealed]
- § 260.218.6. Discretionary Authority.