17 CFR Part 400 — Rules of General Application
- § 400.1— Scope of regulations.
- § 400.2— Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
- § 400.3— Definitions.
- § 400.4— Information concerning associated persons of financial institutions that are government securities brokers or dealers.
- § 400.5— Amendments to application for registration and to notice of status as a government securities broker or dealer.
- § 400.6— Notice of withdrawal from business as a government securities broker or dealer by a financial institution.