Learn More
Log In
Sign Up
17 C.F.R. Part 402 – Financial Responsibility | Midpage
Collections
Code of Federal Regulations
Title 17
Chapter IV
Subchapter A
Part 402
17 C.F.R. Part 402
Financial Responsibility
402.1
Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.
402.2
Capital requirements for registered government securities brokers and dealers.
402.2a
Appendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2).
402.2b
[Reserved]
402.2c
Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
402.2d
Appendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.