Title 17

PART 400

Part 400 - Rules Of General Application

PART 400 - RULES OF GENERAL APPLICATION Authority:15 U.S.C. 78o-5. Source:52 FR 27926, July 24, 1987, unless otherwise noted.

17:4.0.2.1.1.0.154.1SECTION 400.1
   400.1 Scope of regulations.
17:4.0.2.1.1.0.154.2SECTION 400.2
   400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
17:4.0.2.1.1.0.154.3SECTION 400.3
   400.3 Definitions.
17:4.0.2.1.1.0.154.4SECTION 400.4
   400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers.
17:4.0.2.1.1.0.154.5SECTION 400.5
   400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer.
17:4.0.2.1.1.0.154.6SECTION 400.6
   400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution.