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Title 17 Chapter IV

Title 17 → Chapter IV

Electronic Code of Federal Regulations e-CFR

Title 17 Chapter IV

Title 17 → Chapter IV


TITLE 17—Commodity and Securities Exchanges

CHAPTER IV—DEPARTMENT OF THE TREASURY

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PartTable of
Contents
Headings
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SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

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
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SUBCHAPTER B—REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986

450
450.1 to 450.5
CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS
451-499
[RESERVED]