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Title 17 Part 400

Title 17 → Chapter IV → Subchapter A → Part 400

Electronic Code of Federal Regulations e-CFR

Title 17 Part 400

Title 17Chapter IVSubchapter APart 400


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

PART 400—RULES OF GENERAL APPLICATION

rule
§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.