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Code of Federal Regulations
Title 17
Chapter IV
Subchapter A
Regulations Under Section 15C of the Securities Exchange Act of 1934
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400
Rules of General Application
401
Exemptions
402
Financial Responsibility
403
Protection of Customer Securities and Balances
404
Recordkeeping and Preservation of Records
405
Reports and Audit
420
Large Position Reporting
449
Forms, Section 15C of the Securities Exchange Act of 1934