Financial Responsibility

  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. Financial Responsibility

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Section
402.1

Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.

Section
402.2

Capital requirements for registered government securities brokers and dealers.

Section
402.2a

Appendix A - Calculation of market risk haircut for purposes of § 402.2(g)(2).

Section
402.2b

§ 402.2b [Reserved]

Section
402.2c

Appendix C - Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.

Section
402.2d

Appendix D - Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.