Part 400—Rules of General Application

1. CFR
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3. Title 17
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5. Chapter IV
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7. Part 400

Sections

• 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.