§ 240.3a40-1 Designation of financial responsibility rules.  


Latest version.
  • The term financial responsibility rules for purposes of the Securities Investor Protection Act of 1970 shall include:

    (a) Any rule adopted by the Commission pursuant to sections 8, 15(c)(3), 17(a) or 17(e)(1)(A) of the Securities Exchange Act of 1934;

    (b) Any rule adopted by the Commission relating to hypothecation or lending of customer securities;

    (c) Any rule adopted by any self-regulatory organization relating to capital, margin, recordkeeping, hypothecation or lending requirements; and

    (d) Any other rule adopted by the Commission or any self-regulatory organization relating to the protection of funds or securities.

    (Secs. 3, 15(c)(3), 17(a) and 23 (15 U.S.C. 78c, 78o, 78q(a) and 78u))

    [44 FR 28318, May 15, 1979]