Code of Federal Regulations · Section

§ 566.303 — Covered Financial Institution

31 C.F.R. § 566.303

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The term covered financial institution means a broker or dealer in securities registered, or required to be registered, with the Securities and Exchange Commission under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.), except persons who register pursuant to section 15(b)(11) of the Securities Exchange Act of 1934; a futures commission merchant or an introducing broker registered, or required to be registered, with the Commodity Futures Trading Commission under the Commodity Exchange Act (7 U.S.C. 1 et seq.), except persons who register pursuant to section 4(f)(a)(2) of the Commodity Exchange Act; or a mutual fund.

31 C.F.R. § 566.302 31 C.F.R. § 566.304

Authorizing Statute

Short title
7 U.S.C. § 1
Short title
15 U.S.C. § 78a
Unusual and extraordinary threat; declaration of national emergency; exercise of Presidential authorities
50 U.S.C. § 1701
Mode of recovery
28 U.S.C. § 2461
General authority of the Secretary
31 U.S.C. § 321
General authorization to delegate functions; publication of delegations
3 U.S.C. § 301