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The Code of Federal Regulations (CFR) annual edition is the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government produced by the Office of the Federal Register (OFR) and the Government Publishing Office.


Parallel Table of Authorities and Rules for the Code of Federal Regulations and the United States Code
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Electronic Code of Federal Regulations

Electronic Code of Federal Regulations

e-CFR data is current as of April 23, 2015

Title 17Chapter IVSubchapter APart 404


TITLE 17—Commodity and Securities Exchanges

CHAPTER IV—DEPARTMENT OF THE TREASURY

SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS

rule
§404.1
Application of part to registered brokers and dealers.
§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
Records to be preserved by registered government securities brokers and dealers.
§404.4
Records to be made and preserved by government securities brokers and dealers that are financial institutions.
§404.5
Securities counts by registered government securities brokers and dealers.

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