SEC Rule 15b1-1
E512108
SEC Rule 15b1-1 is a U.S. Securities and Exchange Commission regulation that governs the registration of broker-dealers, including the requirement to file Form BD.
All labels observed (1)
| Label | Occurrences |
|---|---|
| SEC Rule 15b1-1 canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T5340763 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: SEC Rule 15b1-1 Context triple: [Form BD, legalBasis, SEC Rule 15b1-1]
-
A.
Rule 10b-5
Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
-
B.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
C.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
-
D.
Regulation NMS
Regulation NMS is a set of U.S. Securities and Exchange Commission rules designed to modernize and strengthen the national market system for equity trading, emphasizing fair access, price transparency, and best execution across exchanges.
-
E.
SEC rule under the Securities Exchange Act of 1934
Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: SEC Rule 15b1-1 Target entity description: SEC Rule 15b1-1 is a U.S. Securities and Exchange Commission regulation that governs the registration of broker-dealers, including the requirement to file Form BD.
-
A.
Rule 10b-5
Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
-
B.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
C.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
-
D.
Regulation NMS
Regulation NMS is a set of U.S. Securities and Exchange Commission rules designed to modernize and strengthen the national market system for equity trading, emphasizing fair access, price transparency, and best execution across exchanges.
-
E.
SEC rule under the Securities Exchange Act of 1934
Regulation SCI is a U.S. Securities and Exchange Commission regulation that imposes technology, systems integrity, and cybersecurity requirements on key market participants to promote the stability and resilience of the securities markets.
- F. None of above. chosen
Statements (25)
| Predicate | Object |
|---|---|
| instanceOf |
SEC rule
ⓘ
U.S. securities regulation ⓘ |
| appliesTo |
broker-dealers
ⓘ
firms engaged in effecting securities transactions for others ⓘ firms engaged in trading securities for their own account as part of a regular business ⓘ |
| category | broker-dealer regulation ⓘ |
| codifiedIn | 17 CFR § 240.15b1-1 ⓘ |
| complements |
Form BD instructions
ⓘ
linked to:
Form BD
|
| enforcedBy | Division of Trading and Markets of the SEC ⓘ |
| governs |
procedure for registration of brokers
ⓘ
procedure for registration of dealers ⓘ |
| issuedBy |
U.S. Securities and Exchange Commission
ⓘ
linked to:
Securities and Exchange Commission
|
| jurisdiction |
United States
ⓘ
linked to:
United States of America
|
| language | English ⓘ |
| legalBasis |
Securities Exchange Act of 1934
ⓘ
linked to:
U.S. Securities Exchange Act of 1934
|
| partOf | SEC rules under the Securities Exchange Act of 1934 ⓘ |
| purpose |
to ensure standardized disclosure by broker-dealers
ⓘ
to establish the method of applying for broker-dealer registration ⓘ |
| referencesForm | Form BD ⓘ |
| regulates | broker-dealer registration ⓘ |
| relatedTo | Section 15(b) of the Securities Exchange Act of 1934 ⓘ |
| requires |
application for registration as a broker or dealer
ⓘ
use of the uniform application form for broker-dealer registration ⓘ |
| requiresComplianceBy | registered broker-dealers ⓘ |
| requiresFilingOf | Form BD ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: SEC Rule 15b1-1 Description of subject: SEC Rule 15b1-1 is a U.S. Securities and Exchange Commission regulation that governs the registration of broker-dealers, including the requirement to file Form BD.
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.