17 CFR Part 403 - PROTECTION OF CUSTOMER SECURITIES AND BALANCES
- § 403.1 — Application of part to registered brokers and dealers.
- § 403.2 — Hypothecation of customer securities.
- § 403.3 — Use of customers' free credit balances.
- § 403.4 — Customer protection—reserves and custody of securities.
- § 403.5 — Custody of securities held by financial institutions that are government securities brokers or dealers.
- § 403.6 — Compliance with part by futures commission merchants.
- § 403.7 — Effective dates.
Authority:
Sec. 101, Pub. L. 99-571, 100 Stat. 3209; sec. 4(b), Pub. L. 101-432, 104 Stat. 963; sec. 102, sec. 106, Pub. L. 103-202, 107 Stat. 2344 (15 U.S.C. 78o-5(a)(5), (b)(1)(A), (b)(4).
Source:
52 FR 27947, July 24, 1987, unless otherwise noted.
Title 17 published on 2012-04-01
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.
