17 CFR Part 402 - FINANCIAL RESPONSIBILITY

§ 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

§ 78o-5 - Government securities brokers and dealers

Statutes at Large

100 Stat. 3209

104 Stat. 963