Code of Federal Regulations · Subchapter

Subchapter A — Regulations Under Section 15c Of The Securities Exchange Act Of 1934

17 C.F.R. subch. A

• Part 400 Rules Of General Application
• Part 401 Exemptions
• Part 402 Financial Responsibility
• Part 403 Protection Of Customer Securities And Balances
• Part 404 Recordkeeping And Preservation Of Records
• Part 405 Reports And Audit
• Part 420 Large Position Reporting
• Part 449 Forms, Section 15c Of The Securities Exchange Act Of 1934