Rules of General Application

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Department of the Treasury
  5. Regulations Under Section 15C of the Securities Exchange Act of 1934
  6. Rules of General Application

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Section
400.1

Scope of regulations.

Section
400.2

Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.

Section
400.3

Definitions.

Section
400.4

Information concerning associated persons of financial institutions that are government securities brokers or dealers.

Section
400.5

Amendments to application for registration and to notice of status as a government securities broker or dealer.

Section
400.6

Notice of withdrawal from business as a government securities broker or dealer by a financial institution.