Federal (United States) · Regulations
Part 403 — PROTECTION OF CUSTOMER SECURITIES AND BALANCES
7 sections
7 sections
- 17 C.F.R. § 403.1Application of part to registered brokers and dealers.
- 17 C.F.R. § 403.2Hypothecation of customer securities.
- 17 C.F.R. § 403.3Use of customers' free credit balances.
- 17 C.F.R. § 403.4Customer protection—reserves and custody of securities.
- 17 C.F.R. § 403.5Custody of securities held by financial institutions that are government securities brokers or dealers.
- 17 C.F.R. § 403.6Compliance with part by futures commission merchants.
- 17 C.F.R. § 403.7Effective dates.