financial responsibility rules

The term financial responsibility rules for purposes of the Securities Investor Protection Act of 1970 shall include:

(Secs. 3, 15(c)(3), 17(a) and 23 (15 U.S.C. 78c, 78o, 78q(a) and 78u))

Source

17 CFR § 240.3a40-1

Scoping language

None