17 CFR Part 404
PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
- PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
- Chapter IV—Department of the Treasury › Subchapter A—Regulations Under Section 15C of the Securities Exchange Act of 1934
- § 404.1 Application of part to registered brokers and dealers.
- § 404.2 Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
- § 404.3 Records to be preserved by registered government securities brokers and dealers.
- § 404.4 Records to be made and preserved by government securities brokers and dealers that are financial institutions.
- § 404.5 Securities counts by registered government securities brokers and dealers.
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