Recordkeeping and Preservation of Records

  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. Recordkeeping and Preservation of Records

Checkout our iOS App for a better way to browser and research.

Section
404.1

Application of part to registered brokers and dealers.

Section
404.2

Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.

Section
404.3

Records to be preserved by registered government securities brokers and dealers.

Section
404.4

Records to be made and preserved by government securities brokers and dealers that are financial institutions.

Section
404.5

Securities counts by registered government securities brokers and dealers.