Federal (United States) · Regulations
Part 404 — RECORDKEEPING AND PRESERVATION OF RECORDS
5 sections
5 sections
- 17 C.F.R. § 404.1Application of part to registered brokers and dealers.
- 17 C.F.R. § 404.2Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
- 17 C.F.R. § 404.3Records to be preserved by registered government securities brokers and dealers.
- 17 C.F.R. § 404.4Records to be made and preserved by government securities brokers and dealers that are financial institutions.
- 17 C.F.R. § 404.5Securities counts by registered government securities brokers and dealers.