Title 17

Volume 4 CHAPTER IV SUBCHAP A

Subchapter A - Regulations Under Section 15c Of The Securities Exchange Act Of 1934

17:4.0.2.1.1PART 400
PART 400 - RULES OF GENERAL APPLICATION
17:4.0.2.1.1.0.154.1SECTION 400.1
     400.1 Scope of regulations.
17:4.0.2.1.1.0.154.2SECTION 400.2
     400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
17:4.0.2.1.1.0.154.3SECTION 400.3
     400.3 Definitions.
17:4.0.2.1.1.0.154.4SECTION 400.4
     400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers.
17:4.0.2.1.1.0.154.5SECTION 400.5
     400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer.
17:4.0.2.1.1.0.154.6SECTION 400.6
     400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution.
17:4.0.2.1.2PART 401
PART 401 - EXEMPTIONS
17:4.0.2.1.2.0.154.1SECTION 401.1
     401.1 Exemption for organizations handling transactions in United States Savings Bonds.
17:4.0.2.1.2.0.154.2SECTION 401.2
     401.2 Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
17:4.0.2.1.2.0.154.3SECTION 401.3
     401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.
17:4.0.2.1.2.0.154.4SECTION 401.4
     401.4 Exemption for financial institutions engaged in limited government securities dealer activities.
17:4.0.2.1.2.0.154.5SECTION 401.5
     401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.
17:4.0.2.1.2.0.154.6SECTION 401.6
     401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
17:4.0.2.1.2.0.154.7SECTION 401.7
     401.7 Exemption for certain foreign government securities brokers or dealers.
17:4.0.2.1.3PART 402
PART 402 - FINANCIAL RESPONSIBILITY
17:4.0.2.1.3.0.154.1SECTION 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.
17:4.0.2.1.3.0.154.2SECTION 402.2
     402.2 Capital requirements for registered government securities brokers and dealers.
17:4.0.2.1.3.0.154.3SECTION 402.2a
     402.2a Appendix A - Calculation of market risk haircut for purposes of § 402.2(g)(2).
17:4.0.2.1.3.0.154.4SECTION 402.2b
     402.2b [Reserved]
17:4.0.2.1.3.0.154.5SECTION 402.2c
     402.2c Appendix C - Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
17:4.0.2.1.3.0.154.6SECTION 402.2d
     402.2d Appendix D - Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.
17:4.0.2.1.4PART 403
PART 403 - PROTECTION OF CUSTOMER SECURITIES AND BALANCES
17:4.0.2.1.4.0.154.1SECTION 403.1
     403.1 Application of part to registered brokers and dealers.
17:4.0.2.1.4.0.154.2SECTION 403.2
     403.2 Hypothecation of customer securities.
17:4.0.2.1.4.0.154.3SECTION 403.3
     403.3 Use of customers' free credit balances.
17:4.0.2.1.4.0.154.4SECTION 403.4
     403.4 Customer protection - reserves and custody of securities.
17:4.0.2.1.4.0.154.5SECTION 403.5
     403.5 Custody of securities held by financial institutions that are government securities brokers or dealers.
17:4.0.2.1.4.0.154.6SECTION 403.6
     403.6 Compliance with part by futures commission merchants.
17:4.0.2.1.4.0.154.7SECTION 403.7
     403.7 Effective dates.
17:4.0.2.1.5PART 404
PART 404 - RECORDKEEPING AND PRESERVATION OF RECORDS
17:4.0.2.1.5.0.154.1SECTION 404.1
     404.1 Application of part to registered brokers and dealers.
17:4.0.2.1.5.0.154.2SECTION 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.
17:4.0.2.1.5.0.154.3SECTION 404.3
     404.3 Records to be preserved by registered government securities brokers and dealers.
17:4.0.2.1.5.0.154.4SECTION 404.4
     404.4 Records to be made and preserved by government securities brokers and dealers that are financial institutions.
17:4.0.2.1.5.0.154.5SECTION 404.5
     404.5 Securities counts by registered government securities brokers and dealers.
17:4.0.2.1.6PART 405
PART 405 - REPORTS AND AUDIT
17:4.0.2.1.6.0.154.1SECTION 405.1
     405.1 Application of part to registered brokers and dealers and to financial institutions; transition rule.
17:4.0.2.1.6.0.154.2SECTION 405.2
     405.2 Reports to be made by registered government securities brokers and dealers.
17:4.0.2.1.6.0.154.3SECTION 405.3
     405.3 Notification provisions for certain registered government securities brokers and dealers.
17:4.0.2.1.6.0.154.4SECTION 405.4
     405.4 Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers.
17:4.0.2.1.6.0.154.5SECTION 405.5
     405.5 Risk assessment reporting requirements for registered government securities brokers and dealers.
17:4.0.2.1.7PART 420
PART 420 - LARGE POSITION REPORTING
17:4.0.2.1.7.0.154.1SECTION 420.1
     420.1 Applicability.
17:4.0.2.1.7.0.154.2SECTION 420.2
     420.2 Definitions.
17:4.0.2.1.7.0.154.3SECTION 420.3
     420.3 Reporting.
17:4.0.2.1.7.0.154.4SECTION 420.4
     420.4 Recordkeeping.
17:4.0.2.1.7.0.154.5SECTION 420.5
     420.5 Applicability date.
17:4.0.2.1.7.0.154.6.7APPENDIX Appendix A
  Appendix A to Part 420 - Separate Reporting Entity
17:4.0.2.1.7.0.154.6.8APPENDIX Appendix B
  Appendix B to Part 420 - Sample Large Position Report
17:4.0.2.1.8PART 449
PART 449 - FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
17:4.0.2.1.8.0.154.1SECTION 449.1
     449.1 Form G-FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934.
17:4.0.2.1.8.0.154.2SECTION 449.2
     449.2 Form G-FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.6 of this chapter.
17:4.0.2.1.8.0.154.3SECTION 449.3
     449.3 Form G-FIN-4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
17:4.0.2.1.8.0.154.4SECTION 449.4
     449.4 Form G-FIN-5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
17:4.0.2.1.8.0.154.5SECTION 449.5
     449.5 Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter.