Part 404—Recordkeeping and Preservation of Records

1. CFR
2. ›
3. Title 17
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5. Chapter IV
6. ›
7. Part 404

Sections

• 404.1
  § 404.1 Application of part to registered brokers and dealers.
• 404.2
  § 404.2 Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
• 404.3
  § 404.3 Records to be preserved by registered government securities brokers and dealers.
• 404.4
  § 404.4 Records to be made and preserved by government securities brokers and dealers that are financial institutions.
• 404.5
  § 404.5 Securities counts by registered government securities brokers and dealers.