17 CFR 240.15Ba2-1 - Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.

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§ 240.15Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
(a) An application for registration, pursuant to Section 15B(a) of the Act, of a municipal securities dealer which is a bank (as defined in section 3(a)(6) of the Act) or a separately identifiable department or division of a bank (as defined by the Municipal Securities Rulemaking Board), shall be filed with the Commission on Form MSD (§ 249.950 of this chapter), in accordance with the instructions contained therein.
(b) If the information contained in any application for registration pursuant to paragraph (a) of this section, or in any amendment to such application, is or becomes inaccurate for any reason, applicant shall promptly file an amendment on Form MSD (§ 249.950 of this chapter) correcting such information.
(c) Every amendment filed pursuant to this rule shall constitute a “report” within the meaning of sections 17 and 32(a) of the Act (15 U.S.C. 78q and 78ff (a)).
[40 FR 49776, Oct. 24, 1975]

Title 17 published on 2014-04-01.

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  • 2015-04-20; vol. 80 # 75 - Monday, April 20, 2015
    1. 80 FR 21806 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
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      Final rules.
      The final rules and form amendments are effective on June 19, 2015.
      17 CFR Parts 200, 230, 232, 239, 240, 249, and 260

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

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United States Code
U.S. Code: Title 7 - AGRICULTURE
U.S. Code: Title 12 - BANKS AND BANKING
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 27dd

§ 77c - Classes of securities under this subchapter

§ 77d - Exempted transactions

§ 77g - Information required in registration statement

§ 77j - Information required in prospectus

§ 77s - Special powers of Commission

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 77eee - Securities required to be registered under Securities Act

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions

§ 77sss - Rules, regulations, and orders

§ 77ttt - Hearings by Commission

§ 78c - Definitions and application

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78d - Securities and Exchange Commission

§ 78e - Transactions on unregistered exchanges

§ 78f - National securities exchanges

§ 78g - Margin requirements

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78k - Trading by members of exchanges, brokers, and dealers

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § -

§ 78m - Periodical and other reports

§ 78n - Proxies

15 U.S. Code § -

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78s - Registration, responsibilities, and oversight of self-regulatory organizations

15 U.S. Code § 32, 33 - Repealed. Pub. L. 91–452 , title II , §§ 209, 210 , Oct. 15, 1970, 84 Stat. 929

§ 78w - Rules, regulations, and orders; annual reports

§ 78x - Public availability of information

15 U.S. Code § -

§ 78mm - General exemptive authority

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

§ 7201 - Definitions

§ 7202 - Commission rules and enforcement

§ 8302 - Review of regulatory authority

U.S. Code: Title 18 - CRIMES AND CRIMINAL PROCEDURE
Statutes at Large

Title 17 published on 2014-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 240 after this date.

  • 2015-05-13; vol. 80 # 92 - Wednesday, May 13, 2015
    1. 80 FR 27444 - Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
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      Proposed rules.
      Comments should be received on or before July 13, 2015.
      17 CFR Parts 240 and 242