General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 15Ca1-1 -- Notice of Government Securities Broker-Dealer Activities
Every government securities broker or government securities
dealer that is a broker or dealer registered pursuant to Section
15 or 15B of the Act (other than a financial
institution as defined in Section 3(a)(46)
of the Act) shall file with the Commission written notice on Form BD in accordance
with the instructions contained therein that it is a government securities broker
or government securities dealer. After July 25, 1987, every broker or dealer subject
to this paragraph shall file notice that it is a government securities broker
or government securities dealer prior to or on the date it begins acting as a
government securities broker or government securities dealer.
Every government securities broker or government
securities dealer required to file notice under paragraph (a) of this section
shall file with the Commission written notice on Form BD in accordance with the
instructions contained therein when it ceases to be a government securities broker
or government securities dealer. Notice shall be filed within 30 days after the
date the broker or dealer has ceased acting as a government securities broker
or a government securities dealer.
Any notice required pursuant to this section shall
be considered filed with the Commission if it is filed with the Central Registration
Depository (operated by the National Association of Securities Dealers, Inc.)
in accordance with applicable filing requirements.
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