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17 C.F.R. Part 404 – Recordkeeping and Preservation of Records | Midpage
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Code of Federal Regulations
Title 17
Chapter IV
Subchapter A
Part 404
17 C.F.R. Part 404
Recordkeeping and Preservation of Records
404.1
Application of part to registered brokers and dealers.
404.2
Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
404.3
Records to be preserved by registered government securities brokers and dealers.
404.4
Records to be made and preserved by government securities brokers and dealers that are financial institutions.
404.5
Securities counts by registered government securities brokers and dealers.