Title 17

PART 403 Part 403 - Protection Of Customer Securities And Balances

PART 403 - PROTECTION OF CUSTOMER SECURITIES AND BALANCES Authority:Sec. 101, Pub. L. 99-571, 100 Stat. 3209; sec. 4(b), Pub. L. 101-432, 104 Stat. 963; sec. 102, sec. 106, Pub. L. 103-202, 107 Stat. 2344 (15 U.S.C. 78o-5(a)(5), (b)(1)(A), (b)(4)). Source:52 FR 27947, July 24, 1987, unless otherwise noted.

Authority: Sec. 101, Pub. L. 99-571, 100 Stat. 3209; sec. 4(b), Pub. L. 101-432, 104 Stat. 963; sec. 102, sec. 106, Pub. L. 103-202, 107 Stat. 2344 (15 U.S.C. 78o-5(a)(5), (b)(1)(A), (b)(4)).
Source: 52 FR 27947, July 24, 1987, unless otherwise noted.

17:4.0.2.1.4.0.154.1	SECTION 403.1	403.1 Application of part to registered brokers and dealers.
17:4.0.2.1.4.0.154.2	SECTION 403.2	403.2 Hypothecation of customer securities.
17:4.0.2.1.4.0.154.3	SECTION 403.3	403.3 Use of customers' free credit balances.
17:4.0.2.1.4.0.154.4	SECTION 403.4	403.4 Customer protection - reserves and custody of securities.
17:4.0.2.1.4.0.154.5	SECTION 403.5	403.5 Custody of securities held by financial institutions that are government securities brokers or dealers.
17:4.0.2.1.4.0.154.6	SECTION 403.6	403.6 Compliance with part by futures commission merchants.
17:4.0.2.1.4.0.154.7	SECTION 403.7	403.7 Effective dates.