Securities Exchange Act of 1934
- Section 3 -- Definitions and Application of Title
- Rule 3a38. The term "market maker" means any specialist permitted to act as a dealer, any dealer acting in the capacity of block positioner, and any dealer who, with respect to a security, holds himself out (by entering quotations in an inter-dealer communications system or otherwise) as being willing to buy and sell such security for his own account on a regular or continuous basis.
- Rule 3a51-1 -- Definition of Penny Stock.
- Section 17B -- Automated Quotation Systems for Penny Stocks
Rules promulgated under the Securities Exchange Act of 1934
- Rule 15c2-11 -- Initiation or Resumption of Quotations without Specific Information
- Rule 15g-2 -- Risk Disclosure Document Relating to the Penny Stock Market
- Rule 15g-3 -- Broker or Dealer Disclosure of Quotations and Other Information Relating to the Penny Stock Market
- Rule 15g-5 -- Disclosure of Compensation of Associated Persons in Connection With Penny Stock Transactions
- Rule 15g-6 -- Account Statements for Penny Stock Customers
- Rule 15g-9 -- Sales Practice Requirements for Certain Low-Priced Securities
- Rule 15g-100 -- Schedule 15G: Information to Be Included in the Document Distributed Pursuant to Rule 15g-2
