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17 CFR §240.3a40-1 — a40-1 Designation of financial responsibility rules.

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
The term financial responsibility rules for purposes of the Securities Investor Protection Act of 1970 shall include:
  1. (a)Any rule adopted by the Commission pursuant to sections 8, 15(c)(3), 17(a) or 17(e)(1)(A) of the Securities Exchange Act of 1934;
  2. (b)Any rule adopted by the Commission relating to hypothecation or lending of customer securities;
  3. (c)Any rule adopted by any self-regulatory organization relating to capital, margin, recordkeeping, hypothecation or lending requirements; and
  4. (d)Any other rule adopted by the Commission or any self-regulatory organization relating to the protection of funds or securities.