17 CFR Part 404
5 sections.
- § 404.1Application of part to registered brokers and dealers
- § 404.2Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers
- § 404.3Records to be preserved by registered government securities brokers and dealers
- § 404.4Records to be made and preserved by government securities brokers and dealers that are financial institutions
- § 404.5Securities counts by registered government securities brokers and dealers
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.