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