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Regulations last checked for updates: Apr 24, 2024
Title 17 - Commodity and Securities Exchanges last revised: Apr 19, 2024
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Title 17
Chapter IV
Part 404 - PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
§ 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.
authority:
15 U.S.C. 78o-5
(b)(1)(B), (b)(1)(C), (b)(2), (b)(4)
source:
52 FR 27952, July 24, 1987, unless otherwise noted.
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