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

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There is 1 rule appearing in the Federal Register for 17 CFR 401. View below or at eCFR (GPOAccess)
§ 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 2014-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014
    1. 79 FR 38451 - Government Securities Act Regulations; Replacement of References to Credit Ratings and Technical Amendments
      GPO FDSys XML | Text
      DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets
      Final rule.
      The amendments will become effective August 7, 2014.
      17 CFR Parts 400, 401, 402, 403, 405, 420, 449, and 450

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

Title 17 published on 2014-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 401 after this date.

  • 2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014
    1. 79 FR 38451 - Government Securities Act Regulations; Replacement of References to Credit Ratings and Technical Amendments
      GPO FDSys XML | Text
      DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets
      Final rule.
      The amendments will become effective August 7, 2014.
      17 CFR Parts 400, 401, 402, 403, 405, 420, 449, and 450