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.
