Title 17
PART 400
Part 400 - Rules Of General Application
- Authority: 15 U.S.C. 78o-5.
- Source: 52 FR 27926, July 24, 1987, unless otherwise noted.
| 17:4.0.2.1.1.0.154.1 | SECTION 400.1 | 400.1 Scope of regulations. | |
| 17:4.0.2.1.1.0.154.2 | SECTION 400.2 | 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials. | |
| 17:4.0.2.1.1.0.154.3 | SECTION 400.3 | 400.3 Definitions. | |
| 17:4.0.2.1.1.0.154.4 | SECTION 400.4 | 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers. | |
| 17:4.0.2.1.1.0.154.5 | SECTION 400.5 | 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer. | |
| 17:4.0.2.1.1.0.154.6 | SECTION 400.6 | 400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution. |