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  2. Title 17 - Commodity and Securities Exchange
  3. Chapter IV - DEPARTMENT OF THE TREASURY
  4. 17 CFR Subchapter A
17 CFR Subchapter A
REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
April 15, 2021
Part
400
RULES OF GENERAL APPLICATION
Part
401
EXEMPTIONS
Part
402
FINANCIAL RESPONSIBILITY
Part
403
PROTECTION OF CUSTOMER SECURITIES AND BALANCES
Part
404
RECORDKEEPING AND PRESERVATION OF RECORDS
Part
405
REPORTS AND AUDIT
Part
420
LARGE POSITION REPORTING
Part
449
FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
Next
Subchapter B REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986

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