![]() The SEC staff cannot act as an individual's or broker-dealer's lawyer. You will find a list of useful phone numbers at the end of this guide, or on the SEC's website at You may wish to consult with a private lawyer who is familiar with the federal securities laws, to assure that you comply with all laws and regulations. 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. Use of Electronic Media by Broker-DealersĬAUTION - MAKE SURE YOU FOLLOW ALL LAWS AND RULESĪlthough this guide highlights certain provisions of the Act and our rules, it is not comprehensive.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). ![]()
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