Protection of Customer Securities and Balances

  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. Protection of Customer Securities and Balances

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Section
403.1

Application of part to registered brokers and dealers.

Section
403.2

Hypothecation of customer securities.

Section
403.3

Use of customers' free credit balances.

Section
403.4

Customer protection - reserves and custody of securities.

Section
403.5

Custody of securities held by financial institutions that are government securities brokers or dealers.

Section
403.6

Compliance with part by futures commission merchants.

Section
403.7

Effective dates.