31 CFR §1023.400
Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart D of part 1010 of this chapter for recordkeeping requirements contained in that subpart which apply to brokers or dealers in securities.