Financial Responsibility of Broker-Dealers.Privacy of Consumer Financial Information (Regulation S-P).Regulation ATS: Broker-Dealer Trading Systems.Trading by Members of Exchanges, Brokers and Dealers.

Restrictions on Private Securities Transactions.

Trading During an Offering (Regulation M).

Restrictions on Short Sales (Regulation SHO).

Withdrawal from Registration Cancellation of Registration.

Broker-Dealer Relationships with Affinity Groups.

Real Estate Securities and Real Estate Brokers/Agents.

Special Rules That Apply to Banks and Other Financial Institutions.

Requirements Regarding Brokers and Dealers of Government and Municipal Securities, including Repurchase Agreements.

Broker-Dealers Must Register Before Selling Unregistered Securities - Including Private Placements (or Regulation D offerings).

Broker-Dealers that Limit their Business to Excluded and Exempted Securities.

'Associated Persons' of a Broker-Dealer.

Brokers and Dealers Generally Must Register with the SEC.

What To Do If You Think You May be a Broker or a Dealer.

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