Regulations last checked for updates: Sep 18, 2025

Title 17 - Commodity and Securities Exchanges last revised: Sep 15, 2025
  • § 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.
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.