17 CFR Part 400
6 sections.
- § 400.1Scope of regulations
- § 400.2Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials
- § 400.3Definitions
- § 400.4Information concerning associated persons of financial institutions that are government securities brokers or dealers
- § 400.5Amendments to application for registration and to notice of status as a government securities broker or dealer
- § 400.6Notice of withdrawal from business as a government securities broker or dealer by a financial institution
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.