PART 400—RULES OF GENERAL APPLICATION
Sections
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400.1
§ 400.1 Scope of regulations. -
400.2
§ 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials. -
400.3
§ 400.3 Definitions. -
400.4
§ 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers. -
400.5
§ 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer. -
400.6
§ 400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution.