Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5)

OMB 3235-0088

OMB 3235-0088

Rule 15Ba-5, adopted July 7, 1975, effective July 16, 1975 (see 41 FR 28948, July 14, 1975), permits a duly-appointed fiduciary to assume immediate responsibility for the operation of a municipal securities dealers's business.

The latest form for Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5) expires 2022-12-31 and can be found here.

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