17 CFR 404.1 - Application of part to registered brokers and dealers.

Regulations last checked for updates: Nov 25, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024

View all text of Part 404 [§ 404.1 - § 404.5]

§ 404.1 - Application of part to registered brokers and dealers.

Compliance by a registered broker or dealer with § 240.17a-3 of this title (pertaining to records to be made), § 240.17a-4 of this title (pertaining to preservation of records), § 240.17a-13 of this title (pertaining to quarterly securities counts) and § 240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.

[71 FR 54411, Sept. 15, 2006]

authority: 15 U.S.C. 78o-5 (b)(1)(B), (b)(1)(C), (b)(2), (b)(4)

source: 52 FR 27952, July 24, 1987, unless otherwise noted.

cite as: 17 CFR 404.1