17 CFR 404.1 - Application of part to registered brokers and dealers.
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Compliance by a registered broker or dealer with § 240.17a-3 of this title (pertaining to records to be made), § 240.17a-4 of this title (pertaining to preservation of records), § 240.17a-13 of this title (pertaining to quarterly securities counts) and § 240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), 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.
No entries appear in the Federal Register after this date, for 17 CFR Part 404.