17 CFR 403.1 - Application of part to registered brokers and dealers.

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There is 1 rule appearing in the Federal Register for 17 CFR 403. View below or at eCFR (GPOAccess)
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§ 403.1 Application of part to registered brokers and dealers.
With respect to their activities in government securities, compliance by registered brokers or dealers with § 240.8c-1 of this title (SEC Rule 8c-1), as modified by § 403.2 (a), (b) and (c), with § 240.15c2-1 of this title (SEC Rule 15c2-1), with § 240.15c3-2 of this title (SEC Rule 15c3-2), as modified by § 403.3, and with § 240.15c3-3 of this title (SEC Rule 15c3-3), as modified by § 403.4 (a) through (d), (f)(2) through (3), (g) through (j), and (m), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.
[71 FR 54411, Sept. 15, 2006]

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
Statutes at Large

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 403 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