17 CFR Part 400
6 sections.
- § 400.1§ 400.1 Scope of regulations.
- § 400.2§ 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
- § 400.3§ 400.3 Definitions.
- § 400.4§ 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers.
- § 400.5§ 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer.
- § 400.6§ 400.6 Notice 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.