e-CFR banner

Home
gpo.gov
govinfo.gov

e-CFR Navigation Aids

Browse

Simple Search

Advanced Search

 — Boolean

 — Proximity

 

Search History

Search Tips

Corrections

Latest Updates

User Info

FAQs

Agency List

Incorporation By Reference

eCFR logo

Related Resources

 

Electronic Code of Federal Regulations

e-CFR data is current as of February 25, 2020

Title 17Chapter IVSubchapter APart 404 → §404.1


Title 17: Commodity and Securities Exchanges
PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS


§404.1   Application of part to registered brokers and dealers.

Compliance by a registered broker or dealer with §240.17a-3 of this title (pertaining to records to be made), §240.17a-4 of this title (pertaining to preservation of records), §240.17a-13 of this title (pertaining to quarterly securities counts) and §240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.

[71 FR 54411, Sept. 15, 2006]

Need assistance?