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The Electronic Code of Federal Regulations (e-CFR) is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments produced by the National Archives and Records Administration's Office of the Federal Register (OFR) and the Government Printing Office.

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Electronic Code of Federal Regulations

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e-CFR Data is current as of October 16, 2014

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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