17 CFR § 240.15Ca2-4

17 CFR · Commodity and Securities Exchanges

§ 240.15Ca2-4 — Registration of fiduciaries.

TitleTitle 17: Commodity and Securities Exchanges PartPart 240: General Rules and Regulations, Securities Exchange Act of 1934

SourceeCFR (current through Apr 6, 2026)

This text of 17 C.F.R. § 240.15Ca2-4 (Registration of fiduciaries.) is published on Counsel Stack Legal Research, covering United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

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17 C.F.R. § 240.15Ca2-4 (2026).

Text

§ 240.15Ca2-4 Registration of fiduciaries.
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.

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§ 240.15Ca2-4 Registration of fiduciaries.

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.