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Title 17 Chapter IV Subchapter A

Title 17 → Chapter IV → Subchapter A

Electronic Code of Federal Regulations e-CFR

Title 17 Chapter IV Subchapter A

Title 17Chapter IV → Subchapter A


TITLE 17—Commodity and Securities Exchanges

CHAPTER IV—DEPARTMENT OF THE TREASURY

SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

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PartTable of
Contents
Headings
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400
400.1 to 400.6
RULES OF GENERAL APPLICATION
401
401.1 to 401.7
EXEMPTIONS
402
402.1 to 402.2d
FINANCIAL RESPONSIBILITY
403
403.1 to 403.7
PROTECTION OF CUSTOMER SECURITIES AND BALANCES
404
404.1 to 404.5
RECORDKEEPING AND PRESERVATION OF RECORDS
405
405.1 to 405.5
REPORTS AND AUDIT
420
420.1 to 420.5
LARGE POSITION REPORTING
449
449.1 to 449.5
FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934