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17 C.F.R. Part 403 – Protection of Customer Securities and Balances | Midpage
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Code of Federal Regulations
Title 17
Chapter IV
Subchapter A
Part 403
17 C.F.R. Part 403
Protection of Customer Securities and Balances
403.1
Application of part to registered brokers and dealers.
403.2
Hypothecation of customer securities.
403.3
Use of customers' free credit balances.
403.4
Customer protection—reserves and custody of securities.
403.5
Custody of securities held by financial institutions that are government securities brokers or dealers.
403.6
Compliance with part by futures commission merchants.
403.7
Effective dates.