Chapter 1 The Markets and Self-RegulationChapter 2 Broker-Dealer Definitions and Registration Requirements Chpater 3 Exchange Trading and Market Making Chapter 4 Retail and Other Operations Chapter 5 Manipulative and DeceptiveChapter 6 Civil LiabilitiesChapter 7 Arbitration of Broker-Dealer Appendix. Further ReadingGlossaryINDEX