Federal (United States) · Regulations
Part 400 — RULES OF GENERAL APPLICATION
6 sections
6 sections
- 17 C.F.R. § 400.1Scope of regulations.
- 17 C.F.R. § 400.2Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
- 17 C.F.R. § 400.3Definitions.
- 17 C.F.R. § 400.4Information concerning associated persons of financial institutions that are government securities brokers or dealers.
- 17 C.F.R. § 400.5Amendments to application for registration and to notice of status as a government securities broker or dealer.
- 17 C.F.R. § 400.6Notice of withdrawal from business as a government securities broker or dealer by a financial institution.