1. LawStack
  2. Title 31 - Money and Finance: Treasury
  3. Subtitle B - Regulations Relating to Money and Finance
  4. Chapter X - Financial Crimes Enforcement Network, Department of the Treasury
  5. Part 1023 - Rules for Brokers or Dealers in Securities
  6. Subpart D - Records Required To Be Maintained by Brokers or Dealers in Securities
  7. 31 CFR § 1023.400
31 CFR § 1023.400
General
July 31, 2023
CFR

§ 1023.400 General.

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.

Next
§ 1023.410 Additional records to be made and retained by brokers or dealers in securities

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