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Code of Federal Regulations (Last Updated: November 8, 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. |
| § 403.2 - Hypothecation of customer securities. |
| § 403.3 - Use of customers' free credit balances. |
| § 403.4 - Customer protection - reserves and custody of securities. |
| § 403.5 - Custody of securities held by financial institutions that are government securities brokers or dealers. |
| § 403.6 - Compliance with part by futures commission merchants. |
| § 403.7 - Effective dates. |