General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 0-8 -- Application of Rules to Registered Broker-Dealers
Any provision of any rule or regulation under the Act which prohibits any act,
practice, or course of business by any person if the mails or any means or instrumentality
of interstate commerce are used in connection therewith, shall also prohibit any
such act, practice, or course of business by any broker or dealer registered pursuant
to section 15(b) of the Act, or any person
acting on behalf of such a broker or dealer, irrespective of any use of the mails
or any means or instrumentality of interstate commerce.
Notice to Users: The Deskbook is made available
with the understanding that the University of Cincinnati College
of Law is not engaged in rendering legal, accounting or other professional
services. If legal advice or other expert assistance is required,
the services of a competent professional person should be sought. See Terms and Conditions of Use.
