17 CFR Part 404 - RECORDKEEPING AND PRESERVATION OF RECORDS
- § 404.1 Application of part to registered brokers and dealers.
- § 404.2 Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
- § 404.3 Records to be preserved by registered government securities brokers and dealers.
- § 404.4 Records to be made and preserved by government securities brokers and dealers that are financial institutions.
- § 404.5 Securities counts by registered government securities brokers and dealers.
Authority:
15 U.S.C. 78o-5 (b)(1)(B), (b)(1)(C), (b)(2), (b)(4).
Source:
52 FR 27952, July 24, 1987, unless otherwise noted.