17 CFR Part 402 - FINANCIAL RESPONSIBILITY | US Law | LII / Legal Information Institute

§ 402.1 Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.
§ 402.2 Capital requirements for registered government securities brokers and dealers.
§ 402.2a Appendix A - Calculation of market risk haircut for purposes of § 402.2(g)(2).
§ 402.2b [Reserved]
§ 402.2c Appendix C - Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
§ 402.2d Appendix D - Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.

Authority:

15 U.S.C. 78o-5(b)(1)(A), (b)(4), Pub. L. 111-203, 124 Stat. 1376.

Source:

52 FR 27931, July 24, 1987, unless otherwise noted.

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.

United States Code

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

15 U.S. Code § 78o–5 - Government securities brokers and dealers

Statutes at Large

100 Stat. 3209

104 Stat. 963

Title 17 published on 16-Dec-2017 03:45

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 402 after this date.

2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014

79 FR 38451 - Government Securities Act Regulations; Replacement of References to Credit Ratings and Technical Amendments

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2014-15731
RIN	1535-AA02
Docket No.	BPD GSRS 11-01

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

Summary

The Department of the Treasury (Treasury) is issuing in final form an amendment to the regulations issued under the Government Securities Act of 1986, as amended (GSA), to replace references to credit ratings in the regulations with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. This final rule amendment provides a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. It also contains several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.