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17 C.F.R. Part 400 – Rules of General Application | Midpage
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Code of Federal Regulations
Title 17
Chapter IV
Subchapter A
Part 400
17 C.F.R. Part 400
Rules of General Application
400.1
Scope of regulations.
400.2
Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
400.3
Definitions.
400.4
Information concerning associated persons of financial institutions that are government securities brokers or dealers.
400.5
Amendments to application for registration and to notice of status as a government securities broker or dealer.
400.6
Notice of withdrawal from business as a government securities broker or dealer by a financial institution.