Federal (United States) · Regulations
Part 402 — FINANCIAL RESPONSIBILITY
5 sections
5 sections
- 17 C.F.R. § 402.1Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.
- 17 C.F.R. § 402.2Capital requirements for registered government securities brokers and dealers.
- 17 C.F.R. § 402.2aAppendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2).
- 17 C.F.R. § 402.2cAppendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
- 17 C.F.R. § 402.2dAppendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.