17 CFR Part 400 - RULES OF GENERAL APPLICATION
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- § 400.1 Scope of regulations.
- § 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
- § 400.3 Definitions.
- § 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers.
- § 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer.
- § 400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution.
Authority:
15 U.S.C. 78o-5.
Source:
52 FR 27926, July 24, 1987, unless otherwise noted.