![]() ![]() Broker-Dealer Registration – Limited Broker-Dealer Functions.Broker-Dealer Registration – Foreign Broker-Dealers (including International Activities of U.S.Broker-Dealer Registration – Exemptions from Registration.Broker-Dealer Registration – Clerical and Ministerial Activities.Broker-Dealer Registration (including Form BD Interpretations, Withdrawal from Broker-Dealer Registration and Successors).Broker-Dealer Net Capital Requirements - Rule 15c3-1.Broker-Dealer Customer Protection Rule - Rule 15c3-3.Broker-Dealer Books and Records and Reporting Requirements. ![]() ![]() Associated Persons of Broker-Dealers (including Registration, Bars, Statutory Disqualification, and Rule 19h-1). ![]()
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