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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 |
| Part 400 - Rules of General Application |
| Part 401 - Exemptions |
| Part 402 - Financial Responsibility |
| Part 403 - Protection of Customer Securities and Balances |
| Part 404 - Recordkeeping and Preservation of Records |
| Part 405 - Reports and Audit |
| Part 420 - Large Position Reporting |
| Part 449 - Forms, Section 15c of the Securities Exchange Act of 1934 |