Code of Federal Regulations · Part

Part 404 — Recordkeeping And Preservation Of Records

17 C.F.R. pt. 404

• § 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