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Electronic Code of Federal Regulations

e-CFR data is current as of January 23, 2020

Title 17Chapter IVSubchapter APart 403


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 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES

rule
§403.1
Application of part to registered brokers and dealers.
§403.2
Hypothecation of customer securities.
§403.3
Use of customers' free credit balances.
§403.4
Customer protection—reserves and custody of securities.
§403.5
Custody of securities held by financial institutions that are government securities brokers or dealers.
§403.6
Compliance with part by futures commission merchants.
§403.7
Effective dates.

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