Code of Federal Regulations > Title 17 > Chapter IV > Part 403 - PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES

Regulations last checked for updates: Nov 21, 2024

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

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

§ 403.2 - Hypothecation of customer securities.

§ 403.3 - Use of customers' free credit balances.

§ 403.4 - Customer protection—reserves and custody of securities.

§ 403.5 - Custody of securities held by financial institutions that are government securities brokers or dealers.

§ 403.6 - Compliance with part by futures commission merchants.

§ 403.7 - Effective dates.

authority: Sec. 101, Pub. L. 99-571, 100 Stat. 3209; sec. 4(b), Pub. L. 101-432, 104 Stat. 963; sec. 102, sec. 106, Pub. L. 103-202, 107 Stat. 2344 (15 U.S.C. 78o-5(a)(5), (b)(1)(A), (b)(4))

source: 52 FR 27947, July 24, 1987, unless otherwise noted.