17 CFR Part 403 - PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES
- § 403.1 Application of part to registered brokers and dealers.
- § 403.2 Hypothecation of customer securities.
- § 403.3 Use of customers' free credit balances.
- § 403.4 Customer protection—reserves and custody of securities.
- § 403.5 Custody of securities held by financial institutions that are government securities brokers or dealers.
- § 403.6 Compliance with part by futures commission merchants.
- § 403.7 Effective dates.
Authority:
Sec. 101, Pub. L. 99–571, 100 Stat. 3209; sec. 4(b), Pub. L. 101–432, 104 Stat. 963; sec. 102, sec. 106, Pub. L. 103–202, 107 Stat. 2344 (15 U.S.C. 78o–5(a)(5), (b)(1)(A), (b)(4)).
Source:
52 FR 27947, July 24, 1987, unless otherwise noted.