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.

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.

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