17 CFR 240.15Ca2-4
§ 240.15Ca2-4 Registration of fiduciaries.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 240.15Ca2-4, § 240.15Ca2-4 Registration of fiduciaries, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69283
- Permanent ID
ys:prov:69283@1- SHA-256
2f21bafad4255178d9110eb837dd0051591f212d4e168d18ebf6151beeeb36a8
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Full text
The registration of a government securities broker or government securities dealer pursuant to section 15C of the Act shall be deemed to be the registration of any executor, administrator, guardian, conservator, assignee for the benefit of creditors, receiver, trustee in insolvency or bankruptcy, or other fiduciary, appointed or qualified by order, judgment, or decree of a court of competent jurisdiction to continue the business of such registered government securities broker or government securities dealer, provided that such fiduciary files with the Commission, no more than 30 days after entering upon the performance of its duties, a statement setting forth as to such fiduciary substantially the information required by Form BD.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.