1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter IV - DEPARTMENT OF THE TREASURY
  4. Subchapter A - REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
  5. Part 403 - PROTECTION OF CUSTOMER SECURITIES AND BALANCES
  6. 17 CFR § 403.3
17 CFR § 403.3
Use of customers' free credit balances
April 15, 2021
CFR

Every registered government securities broker or dealer shall comply with the requirement of §240.15c3-2 of this title concerning the use of customer free credit balances. For purposes of this section, all references to “broker or dealer” in §240.15c3-2 shall include government securities brokers and dealers.

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§ 403.2 Hypothecation of customer securities
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§ 403.4 Customer protection—reserves and custody of securities

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