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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 404 - Recordkeeping and Preservation of Records |
| § 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. |