Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





Registration of Government Securities Brokers and Government Securities Dealers (Rules 15Ca1-1 to 15Cc1-1)


    Rule 15Ca1-1 -- Notice of Government Securities Broker-Dealer Activities

    Rule 15Ca2-1 -- Application for Registration as a Government Securities Broker or Government Securities Dealer

    Rule 15Ca2-2 -- [Reserved]

    Rule 15Ca2-3 -- Registration of Successor to Registered Government Securities Broker or Government Securities Dealer

    Rule 15Ca2-4 -- Registration of Fiduciaries

    Rule 15Ca2-5 -- Consent to Service of Process to Be Furnished by Non-Resident Government Securities Brokers or Government Securities Dealers and by Non-Resident General Partners or Managing Agents of Government Securities Brokers or Government Securities Dealers

    Rule 15Cc1-1 -- Withdrawal from Registration of Government Securities Brokers or Government Securities Dealers



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