Rule 15Ba2-5, Registration of fiduciaries

17 CFR 240.15Ba2-5 (up to date as of 8/26/2025)
Registration of fiduciaries.

17 CFR 240.15Ba2-5 (Aug. 26, 2025)

This content is from the eCFR and is authoritative but unofficial.

Title 17 —Commodity and Securities Exchanges
Chapter II —Securities and Exchange Commission
Part 240 —General Rules and Regulations, Securities Exchange Act of 1934
Subpart A —Rules and Regulations Under the Securities Exchange Act of 1934
National and Affiliated Securities Associations
Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f,
78g, 78i, 78j, 78j-1, 78j-4, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll,
78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, 1681w(a)(1), 6801-6809, 6825, 7201 et seq., and 8302; 7 U.S.C.
2(c)(2)(E); 12 U.S.C. 5221(e)(3); 18 U.S.C. 1350; Pub. L. 111-203, 939A, 124 Stat. 1376 (2010); and Pub. L. 112-106, sec. 503
and 602, 126 Stat. 326 (2012), unless otherwise noted. Section 240.3a4-1 also issued under secs. 3 and 15, 89 Stat. 97, as
amended, 89 Stat. 121 as amended; Section 240.3a12-8 also issued under 15 U.S.C. 78a et seq., particularly secs. 3(a)(12),
15 U.S.C. 78c(a)(12), and 23(a), 15 U.S.C. 78w(a); See Part 240 for more

Editorial Note: Nomenclature changes to part 240 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct.
16, 1992.

§ 240.15Ba2-5 Registration of fiduciaries.
The registration of a municipal securities dealer 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 municipal securities dealer, provided that such fiduciary files
with the Commission, within 30 days after entering upon the performance of his duties, a statement setting forth as
to such fiduciary substantially the information required by Form MSD, if the municipal securities dealer is a bank or
a separately identifiable department of a bank, or Form BD, if the municipal securities dealer is other than a bank or
a separately identifiable department or division of a bank.
[41 FR 28948, July 14, 1976]

17 CFR 240.15Ba2-5 (enhanced display)

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