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Title 17

Displaying title 17, up to date as of 9/16/2021. Title 17 was last amended 9/01/2021.
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Title 17 Commodity and Securities Exchanges Part / Section
Chapter IV Department of the Treasury 400 – 499
Subchapter A Regulations Under Section 15C of the Securities Exchange Act of 1934 400 – 449
Part 400 Rules of General Application 400.1 – 400.6
Part 401 Exemptions 401.1 – 401.7
Part 402 Financial Responsibility 402.1 – 402.2d
Part 403 Protection of Customer Securities and Balances 403.1 – 403.7
Part 404 Recordkeeping and Preservation of Records 404.1 – 404.5
§ 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.
Part 405 Reports and Audit 405.1 – 405.5
§ 405.1 Application of part to registered brokers and dealers and to financial institutions; transition rule.
§ 405.2 Reports to be made by registered government securities brokers and dealers.
§ 405.3 Notification provisions for certain registered government securities brokers and dealers.
§ 405.4 Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers.
§ 405.5 Risk assessment reporting requirements for registered government securities brokers and dealers.
Part 420 Large Position Reporting 420.1 – 420.5
Part 449 Forms, Section 15C of the Securities Exchange Act of 1934 449.1 – 449.5
§ 449.1 Form G-FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934.
§ 449.2 Form G-FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.6 of this chapter.
§ 449.3 Form G-FIN-4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
§ 449.4 Form G-FIN-5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
§ 449.5 Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter.