17 CFR 249.1110 - Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).

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§ 249.1110 Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 ( 17 CFR 240.15Bc3-1).

This form is to be used by a bank or a separately identifiable department or division of a bank (as defined by the Municipal Securities Rulemaking Board) to withdraw from registration with the Securities and Exchange Commission as a municipal securities dealer pursuant to section 15B(c) of the Securities Exchange Act of 1934.

Note:

Copies of Form MSDW have been filed with the Office of the Federal Register as part of this document. Copies of Form MSDW may be obtained from the Publications Section, Securities and Exchange Commission, 500 North Capitol Street, Washington, DC 20549.

[ 41 FR 28949, July 14, 1976]
Editorial Note:
For Federal Register citations affecting Form MSDW, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.

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].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


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

§ 78a - Short title

§ 78b - Necessity for regulation

§ 78c - Definitions and application

15 U.S. Code § 78c–1 - Swap agreements

15 U.S. Code § 78c–2 - Securities-related derivatives

15 U.S. Code § 78c–3 - Clearing for security-based swaps

15 U.S. Code § 78c–4 - Security-based swap execution facilities

§ 78c-5 - Segregation of assets held as collateral in security-based swap transactions

§ 78d - Securities and Exchange Commission

§ 78d-1 - Delegation of functions by Commission

15 U.S. Code § 78d–2 - Transfer of functions with respect to assignment of personnel to chairman

15 U.S. Code § 78d–3 - Appearance and practice before the Commission

15 U.S. Code § 78d–4 - Additional duties of Inspector General

15 U.S. Code § 78d–5 - Deadline for completing enforcement investigations and compliance examinations and inspections

§ 78d-6 - Report and certification of internal supervisory controls

15 U.S. Code § 78d–7 - Triennial report on personnel management

§ 78d-8 - Annual financial controls audit

15 U.S. Code § 78d–9 - Report on oversight of national securities associations

§ 78e - Transactions on unregistered exchanges

§ 78f - National securities exchanges

§ 78g - Margin requirements

§ 78h - Restrictions on borrowing and lending by members, brokers, and dealers

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 U.S. Code § 78j–1 - Audit requirements

15 U.S. Code § 78j–2 - Position limits and position accountability for security-based swaps and large trader reporting

15 U.S. Code § 78j–3 - Compensation committees

15 U.S. Code § 78j–4 - Recovery of erroneously awarded compensation policy

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

15 U.S. Code § 78k–1 - National market system for securities; securities information processors

§ 78l - Registration requirements for securities

15 U.S. Code § 78l–1 - Applications for unlisted trading privileges deemed filed under section 78l of this title

§ 78m - Periodical and other reports

§ 78m-1 - Reporting and recordkeeping for certain security-based swaps

15 U.S. Code § 78m–2 - Reporting requirements regarding coal or other mine safety

§ 78n - Proxies

§ 78n-1 - Shareholder approval of executive compensation

15 U.S. Code § 78n–2 - Corporate governance

§ 78o - Registration and regulation of brokers and dealers

15 U.S. Code § 78o–1 - Brokers deemed to be registered

15 U.S. Code § 78o–2 - Liabilities arising prior to amendment unaffected

15 U.S. Code § 78o–3 - Registered securities associations

§ 78o-4 - Municipal securities

15 U.S. Code § 78o–4a - Commission Office of Municipal Securities

§ 78o-5 - Government securities brokers and dealers

15 U.S. Code § 78o–6 - Securities analysts and research reports

15 U.S. Code § 78o–7 - Registration of nationally recognized statistical rating organizations

15 U.S. Code § 78o–8 - Universal ratings symbols

15 U.S. Code § 78o–9 - Study and rulemaking on assigned credit ratings

§ 78o-10 - Registration and regulation of security-based swap dealers and major security-based swap participants

15 U.S. Code § 78o–11 - Credit risk retention

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

§ 78q-1 - National system for clearance and settlement of securities transactions

15 U.S. Code § 78q–2 - Automated quotation systems for penny stocks

§ 78r - Liability for misleading statements

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

§ 78t - Liability of controlling persons and persons who aid and abet violations

§ 78t-1 - Liability to contemporaneous traders for insider trading

§ 78u - Investigations and actions

§ 78u-1 - Civil penalties for insider trading

15 U.S. Code § 78u–2 - Civil remedies in administrative proceedings

15 U.S. Code § 78u–3 - Cease-and-desist proceedings

15 U.S. Code § 78u–4 - Private securities litigation

15 U.S. Code § 78u–5 - Application of safe harbor for forward-looking statements

§ 78u-6 - Securities whistleblower incentives and protection

15 U.S. Code § 78u–7 - Implementation and transition provisions for whistleblower protection

§ 78v - Hearings by Commission

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

§ 78x - Public availability of information

§ 78y - Court review of orders and rules

§ 78z - Unlawful representations

§ 78aa - Jurisdiction of offenses and suits

15 U.S. Code § 78aa–1 - Special provision relating to statute of limitations on private causes of action

§ 78bb - Effect on existing law

§ 78cc - Validity of contracts

§ 78dd - Foreign securities exchanges

§ 78dd-1 - Prohibited foreign trade practices by issuers

15 U.S. Code § 78dd–2 - Prohibited foreign trade practices by domestic concerns

15 U.S. Code § 78dd–3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns

§ 78ee - Transaction fees

§ 78ff - Penalties

§ 78gg - Separability

§ 78hh - Effective date

15 U.S. Code § 78hh–1 - Effective date of certain sections

§ 78ii - Omitted

§ 78jj - Repealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259

§ 78kk - Authorization of appropriations

§ 78ll - Requirements for the EDGAR system

§ 78mm - General exemptive authority

§ 78nn - Tennessee Valley Authority

§ 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks

§ 78pp - Investor Advisory Committee

§ 7201 - Definitions

§ 7202 - Commission rules and enforcement

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

Title 17 published on 16-May-2018 03:42

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 249 after this date.

  • 2018-05-23; vol. 83 # 100 - Wednesday, May 23, 2018
    1. 83 FR 23848 - Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      17 CFR Parts 240, 249, 275 and 279

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