SEC Rules

Rule 17h-1T -- Risk Assessment Recordkeeping Requirements for Associated Persons of Brokers and Dealers

a. Requirement to maintain and preserve information.

Section 17(h)

a. Risk assessment for holding company systems

1. Obligations to obtain, maintain, and report information

Section 15A -- Registered Securities Associations

a. Registration; application

Section 6(a) of SEC

a. Registration; application