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.
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.
GPO FDSys XML | Text 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 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amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.