Code of Federal Regulations · Section

§ 240.15b5-1 — b5-1 Extension Of Registration For Purposes Of The Securities Investor Protection Act Of 1970 After Cancellation Or Revocation

17 C.F.R. § 240.15b5-1

View:

Commission revocation or cancellation of the registration of a broker or dealer pursuant to section 15(b) of the Act: (i) shall be effective for all purposes, except as hereinafter provided, on the date of the order of revocation or cancellation or, if such order is stayed, on the date the stay is terminated; and (ii) shall be effective six months after the date of the order of revocation or cancellation (or, if such order is stayed, the date the stay is terminated) with respect to a broker's or dealer's registration status as a member within the meaning of Section 3(a)(2) of the Securities Investor Protection Act of 1970 for purposes of the application of sections 5, 6, and 7 thereof to customer claims arising prior to the date of the order of revocation or cancellation (or, if such order is stayed, the date the stay is terminated).

17 C.F.R. § 240.15b3-1 17 C.F.R. § 240.15b6-1

Authorizing Statute

Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
7 U.S.C. § 2
Records and reports
15 U.S.C. § 78q
Registration of securities
15 U.S.C. § 77f
Registration and regulation of brokers and dealers
15 U.S.C. § 78o
Foreign securities exchanges
15 U.S.C. § 78dd
Information required in registration statement
15 U.S.C. § 77g
General provisions of a liquidation proceeding
15 U.S.C. § 78fff
Necessity for regulation
15 U.S.C. § 78b
Proxies
15 U.S.C. § 78n
Classes of securities under this subchapter
15 U.S.C. § 77c
Registration requirements for securities
15 U.S.C. § 78l
Executive compensation and corporate governance
12 U.S.C. § 5221
Findings and purposes
12 U.S.C. § 5461
Definitions; promotion of efficiency, competition, and capital formation
15 U.S.C. § 77b
Creation; membership; compensation and expenses
12 U.S.C. § 241
Short title
15 U.S.C. § 78a
Trading by members of exchanges, brokers, and dealers
15 U.S.C. § 78k
Manipulative and deceptive devices
15 U.S.C. § 78j
Operations of designated financial market utilities
12 U.S.C. § 5465
Definitions and application
15 U.S.C. § 78c
National securities exchanges
15 U.S.C. § 78f
Rules, regulations, and orders; annual reports
15 U.S.C. § 78w
Comprehensive energy plan
15 U.S.C. § 781
Transaction fees
15 U.S.C. § 78ee
Failure of corporate officers to certify financial reports
18 U.S.C. § 1350