STEPHEN H. GLAD These links are provided to assist the user in locating securities industry rules and regulations. Stephen H. Glad has made no review of these pages and is not responsible for their content, including completeness, accuracy, opinions or advice expressed, or any other information appearing on the pages or referred to therein.

SECURITIES LAWS, RULES, AND REGULATIONS Securities and Exchange Commission website: Securities Act of 1933 Securities Exchange Act of 1934 Investment Company Act of 1940 Investment Advisers Act of 1940 Sarbanes-Oxley Act of 2002

RULES OF THE SECURITIES AND EXCHANGE COMMISSION You will need Acrobat Reader to view these pdf files. Rule 15c3-1 Uniform Net Capital Rule Appendix A Options Appendix B Adjustment to net worth and AI for commodities transactions Appendix C Consolidated computations of net capital Appendix D Satisfactory subordination agreements Appendix E Deductions for market and credit risk for certain brokers or dealers. Appendix F Optional market and credit risk requirements for OTC derivatives dealers Appendix G Conditions for ultimate holding companies of certain brokers or dealers

Rule 15c3-3 Possession or Control and Reserve Formula

Recordkeeping rules Rule 17a-3 Rule 17a-4 Broker-Dealer Financial Reporting and Audits - Rule 17a-5

REGULATION T of the Board of Governors of the Federal Reserve System

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