After reading this guide, if you have questions, please feel free to contact the Office of Interpretation and Guidance at (202) 551-5777 (e-mail or the Regional Office of the SEC in your area. The SEC staff stands ready to answer your questions and help you comply with our rules. Securities and Exchange Commission ("SEC" or "Commission"), as well as the requirements of any self-regulatory organizations to which the brokers and dealers belong, and not just those summarized here. Brokers and dealers, and their associated persons, must comply with all applicable requirements, including those of the U.S.
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.Five Questions to Ask Before You Invest.