exchange member engaged in exchange commission business other than floor activities; exchange member engaged in floor activities; broker-dealer making interdealer markets in corporate securities over-the-counter; broker-dealer retailing coproate equity securities over-the-counter; broker-dealer selling corporate debt securities; underwriter or selling group participant; mutual fund retailer; municipal securities broker-dealer; broker-dealer selling variable life insurance or annuities; solicitor of time deposits in a financial institution; real estate syndicator; broker-dealer selling oil and gas interests; put and call broker-dealer or option writer; broker-dealer selling securities of only one issuer or associated issuers; investment advisory services; broker-dealer selling tax shelters or limited partnerships in primary distributions; broker-dealer selling tax shelters or limited partnerships in the secondary market; non-exchange member arranging for transactions in listed securities by exchange member; trading securities for own account; private placements of securities; broker-dealer selling interests in mortgages or other receivables; financial consultant to businesses; estate and monetary planning