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Code of Federal Regulations (Last Updated: May 6, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter IV - Department of the Treasury |
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SubChapter A - Regulations Under Section 15c of the Securities Exchange Act of 1934 |
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Part 403 - Protection of Customer Securities and Balances |
§ 403.1 - Application of part to registered brokers and dealers.
Latest version.
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§ 403.1 Application of part to registered brokers and dealers.
With respect to their activities in government securities, compliance by registered brokers or dealers with § 240.8c-1 of this title (SEC Rule 8c-1), as modified by § 403.2 (a), (b) and (c), with § 240.15c2-1 of this title (SEC Rule 15c2-1), with § 240.15c3-2 of this title (SEC Rule 15c3-2), as modified by § 403.3, and with § 240.15c3-3 of this title (SEC Rule 15c3-3), as modified by § 403.4 (a) through (d), (f)(2) through (3), (g) through (j), and (m), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.
[71 FR 54411, Sept. 15, 2006]