StacksVerified U.S. regulatory reference

17 CFR §404.5

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
  1. (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.
  2. (b)Effective date. This section shall be effective on October 31, 1987.