17 CFR Part 400
PART 400—RULES OF GENERAL APPLICATION
- PART 400—RULES OF GENERAL APPLICATION
- Chapter IV—Department of the Treasury › Subchapter A—Regulations Under Section 15C of the Securities Exchange Act of 1934
- § 400.1 Scope of regulations.
- § 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
- § 400.3 Definitions.
- § 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers.
- § 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer.
- § 400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution.
Feedback