General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 15b1-4 -- Registration of Fiduciaries
The registration of a broker or dealer shall be deemed to be the registration
of any executor, administrator, guardian, conservator, assignee for the benefit
of creditors, receiver, trustee in insolvency or bankruptcy, or other fiduciary,
appointed or qualified by order, judgment, or decree of a court of competent jurisdiction
to continue the business of such registered broker or dealer; Provided,That such fiduciary files with the Commission, within 30 days after entering
upon the performance of his duties, a statement setting forth as to such fiduciary
substantially the information required by Form BD.
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