31 CFR 538.318 - U.S. registered broker or dealer in securities.

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There is 1 rule appearing in the Federal Register for 31 CFR Part 538. View below or at eCFR (GPOAccess)
§ 538.318 U.S. registered broker or dealer in securities.
The term U.S. registered broker or dealer in securities means any U.S. citizen, permanent resident alien, or entity organized under the laws of the United States or of any jurisdiction within the United States, including its foreign branches, or any agency, office or branch of a foreign entity located in the United States, that:
(a) Is a “broker” or “dealer” in securities within the meanings set forth in the Securities Exchange Act of 1934;
(b) Holds or clears customer accounts; and
(c) Is registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934.
[70 FR 34062, June 13, 2005]

Title 31 published on 2014-07-01.

The following are only the Rules published in the Federal Register after the published date of Title 31.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2015-02-18; vol. 80 # 32 - Wednesday, February 18, 2015
    1. 80 FR 8531 - Sudanese Sanctions Regulations
      GPO FDSys XML | Text
      DEPARTMENT OF THE TREASURY, Office of Foreign Assets Control
      Final rule.
      Effective: February 18, 2015.
      31 CFR Part 538

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].

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United States Code
Statutes at Large
Presidential Documents

Executive Order ... 13067

Executive Order ... 13412

Title 31 published on 2014-07-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 31 CFR Part 538 after this date.

  • 2015-02-18; vol. 80 # 32 - Wednesday, February 18, 2015
    1. 80 FR 8531 - Sudanese Sanctions Regulations
      GPO FDSys XML | Text
      DEPARTMENT OF THE TREASURY, Office of Foreign Assets Control
      Final rule.
      Effective: February 18, 2015.
      31 CFR Part 538