Part 403—Protection of Customer Securities and Balances

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter IV
6. ›
7. Part 403

Sections

• 403.1
  § 403.1 Application of part to registered brokers and dealers.
• 403.2
  § 403.2 Hypothecation of customer securities.
• 403.3
  § 403.3 Use of customers' free credit balances.
• 403.4
  § 403.4 Customer protection—reserves and custody of securities.
• 403.5
  § 403.5 Custody of securities held by financial institutions that are government securities brokers or dealers.
• 403.6
  § 403.6 Compliance with part by futures commission merchants.
• 403.7
  § 403.7 Effective dates.