Securities counts by registered government securities brokers and dealers.

  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
  7. Securities counts by registered government securities brokers and dealers.

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§ 404.5 Securities counts by registered government securities brokers and dealers.

(a) Securities counts. Every registered government securities broker or dealer shall comply with the requirements of § 240.17a-13 of this title (Commission Rule 17a-13), with the modification that references to “broker or dealer” and “broker and dealer registered pursuant to Section 15 of the Act” include registered government securities brokers or dealers.

(b) Effective date. This section shall be effective on October 31, 1987.

(Approved by the Office of Management and Budget under control number 1535-0089)

[52 FR 27952, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995]


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