17 CFR Part 400
RULES OF GENERAL APPLICATION
April 15, 2021
§
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
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