Part 402—Financial Responsibility

1. CFR
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3. Title 17
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5. Chapter IV
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7. Part 402

Sections

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