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Regulations last checked for updates: Nov 24, 2024
Title 31 - Money and Finance: Treasury last revised: Nov 18, 2024
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Title 31
Chapter X
Part 1023
Subpart D - Subpart D—Records Required To Be Maintained by Brokers or Dealers in Securities
§ 1023.400 - General.
§ 1023.410 - Additional records to be made and retained by brokers or dealers in securities.
authority:
12 U.S.C. 1829b
and 1951-1959;
31 U.S.C. 5311-5314
and 5316-5332; title III, sec. 314, Pub. L. 107-56, 115 Stat. 307; sec. 701, Pub. L. 114-74, 129 Stat. 599
source:
75 FR 65812, Oct. 25, 2010, unless otherwise noted.
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