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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 400 - Rules of General Application |
| § 400.1 - Scope of regulations. |
| § 400.2 - Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials. |
| § 400.3 - Definitions. |
| § 400.4 - Information concerning associated persons of financial institutions that are government securities brokers or dealers. |
| § 400.5 - Amendments to application for registration and to notice of status as a government securities broker or dealer. |
| § 400.6 - Notice of withdrawal from business as a government securities broker or dealer by a financial institution. |