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 404 - RECORDKEEPING AND PRESERVATION OF RECORDS
  6. 17 CFR § 404.1
17 CFR § 404.1
Application of part to registered brokers and dealers
April 15, 2021
CFR

Compliance by a registered broker or dealer with §240.17a-3 of this title (pertaining to records to be made), §240.17a-4 of this title (pertaining to preservation of records), §240.17a-13 of this title (pertaining to quarterly securities counts) and §240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.

[71 FR 54411, Sept. 15, 2006]

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§ 404.2 Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers

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