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.
|17:184.108.40.206.220.127.116.11||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.|
|17:18.104.22.168.22.214.171.124||SECTION 402.2||402.2 Capital requirements for registered government securities brokers and dealers.|
|17:126.96.36.199.188.8.131.52||SECTION 402.2a||402.2a Appendix A - Calculation of market risk haircut for purposes of § 402.2(g)(2).|
|17:184.108.40.206.220.127.116.11||SECTION 402.2b||402.2b [Reserved]|
|17:18.104.22.168.22.214.171.124||SECTION 402.2c||402.2c Appendix C - Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.|
|17:126.96.36.199.188.8.131.52||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.|