17 CFR 401.7 - Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987.

§ 401.7 Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987.
During the period ending October 31, 1987, a government securities broker or dealer shall be exempt from the provisions of section l5C (a), (b), and (d) of the Act (15 U.S.C. 78o-5(a), (b), (d)) and the regulations of this subchapter if:
(a) Its government securities broker or dealer activities are limited to the performance of contractual obligations entered into prior to July 25, 1987;
(b) It is the subsidiary or affiliate of a government securities broker or dealer that has registered or given notice pursuant to section 15C(a)(1) of the Act (15 U.S.C. 78o-5(a)(1)); and
(c) It ceases all government securities broker or dealer activities on or before October 31, 1987.

Title 17 published on 2013-04-01

no entries appear in the Federal Register after this date.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE