Title 17

PART 402

Part 402 - Financial Responsibility

PART 402 - FINANCIAL RESPONSIBILITY Authority:15 U.S.C. 78o-5(b)(1)(A), (b)(4), Pub. L. 111-203, 124 Stat. 1376. Source:52 FR 27931, July 24, 1987, unless otherwise noted.

17:4.0.2.1.3.0.154.1SECTION 402.1
   402.1 Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.
17:4.0.2.1.3.0.154.2SECTION 402.2
   402.2 Capital requirements for registered government securities brokers and dealers.
17:4.0.2.1.3.0.154.3SECTION 402.2a
   402.2a Appendix A - Calculation of market risk haircut for purposes of § 402.2(g)(2).
17:4.0.2.1.3.0.154.4SECTION 402.2b
   402.2b [Reserved]
17:4.0.2.1.3.0.154.5SECTION 402.2c
   402.2c Appendix C - Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
17:4.0.2.1.3.0.154.6SECTION 402.2d
   402.2d Appendix D - Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.