Chapter 9: Broker-Dealer Regulation
§ 9.1  Registration Requirements
§ 9.1.1  Engaged In the Business
§ 9.1.2  Unlicensed Broker-Dealers
§ 9.1.3  Issuer-Dealer Safe Harbor
§ 9.2  Finders
§ 9.2.1  Finders—General
§ 9.2.2  Finders—Investment Transactions
§ 9.2.3  Finders—M&A Transactions and Business Brokers
§ 9.2.4  “Engaged in the Business”
§ 9.2.5  Other Issues Relating to Finders
§ 9.2.6  Consequences of Using Finders
§ 9.3  Broker-Dealer Regulation
§ 9.3.1  Overview
§ 9.3.2  Operational Regulation of Broker-Dealers
§ 9.3.3  State Regulation of Broker-Dealers
§ 9.3.4  Actions Involving the NASD