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e-CFR data is current as of July 9, 2020

Title 17Chapter IVSubchapter APart 402


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 402—FINANCIAL RESPONSIBILITY

rule
§402.1
Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.
§402.2
Capital requirements for registered government securities brokers and dealers.
§402.2a
Appendix A—Calculation of market risk haircut for purposes of §402.2(g)(2).
§402.2b
[Reserved]
§402.2c
Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
§402.2d
Appendix D—Modification of §240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of §402.2.

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