Title 17

PART 404 Part 404 - Recordkeeping And Preservation Of Records

PART 404 - RECORDKEEPING AND PRESERVATION OF RECORDS Authority:15 U.S.C. 78o-5 (b)(1)(B), (b)(1)(C), (b)(2), (b)(4). Source:52 FR 27952, July 24, 1987, unless otherwise noted.

Authority: 15 U.S.C. 78o-5 (b)(1)(B), (b)(1)(C), (b)(2), (b)(4).
Source: 52 FR 27952, July 24, 1987, unless otherwise noted.

17:4.0.2.1.5.0.154.1	SECTION 404.1	404.1 Application of part to registered brokers and dealers.
17:4.0.2.1.5.0.154.2	SECTION 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.
17:4.0.2.1.5.0.154.3	SECTION 404.3	404.3 Records to be preserved by registered government securities brokers and dealers.
17:4.0.2.1.5.0.154.4	SECTION 404.4	404.4 Records to be made and preserved by government securities brokers and dealers that are financial institutions.
17:4.0.2.1.5.0.154.5	SECTION 404.5	404.5 Securities counts by registered government securities brokers and dealers.