Browse Federal regulations

Read the original sections, or search by topic.

17 CFR 300.104 · Trust accounts.
17 CFR 300.105 · Joint accounts.
17 CFR 300.200 · General.
17 CFR 300.201 · Accounts introduced by same or different broker or dealer.
17 CFR 300.300 · Definitions.
17 CFR 300.301 · Contracts to be closed out or completed.
17 CFR 300.302 · Mechanics of closeout or completion.
17 CFR 300.303 · Report to trustee.
17 CFR 300.304 · Retained rights of brokers or dealers.
17 CFR 300.305 · Excluded contracts.
17 CFR 300.306 · Completion or closeout pursuant to SIPC direction.
17 CFR 300.307 · Completion with cash or securities of customer.
17 CFR 300.400 · Satisfaction of customer claims for standardized options.
17 CFR 300.500 · General.
17 CFR 300.501 · Claim for cash.
17 CFR 300.502 · Claim for securities.
17 CFR 300.503 · Voidable securities transactions.
17 CFR 300.600 · Rules relating to supplemental report on SIPC membership.
17 CFR 301.0-1 · -1 Availability of forms.
17 CFR 301.300a · a Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.
17 CFR 301.300b · b Form 300-B, for report of all fails to deliver.
17 CFR 301.300c · c Form 300-C, for report of all fails to receive.
17 CFR 302.100 · Definitions.
17 CFR 302.101 · Appointment of receiver and trustee for covered broker or dealer.
17 CFR 302.102 · Notice and application for protective decree for covered broker or dealer.
17 CFR 302.103 · Bridge broker or dealer.
17 CFR 302.104 · Claims of customers and other creditors of a covered broker or dealer.
17 CFR 302.105 · Priorities for unsecured claims against a covered broker or dealer.
17 CFR 302.106 · Administrative expenses of SIPC.
17 CFR 302.107 · Qualified Financial Contracts.
17 CFR 400.1 · Scope of regulations.
17 CFR 400.2 · Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
17 CFR 400.3 · Definitions.
17 CFR 400.4 · Information concerning associated persons of financial institutions that are government securities brokers or dealers.
17 CFR 400.5 · Amendments to application for registration and to notice of status as a government securities broker or dealer.
17 CFR 400.6 · Notice of withdrawal from business as a government securities broker or dealer by a financial institution.
17 CFR 401.1 · Exemption for organizations handling transactions in United States Savings Bonds.
17 CFR 401.2 · Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
17 CFR 401.3 · Exemption for financial institutions that are engaged in limited government securities brokerage activities.
17 CFR 401.4 · Exemption for financial institutions engaged in limited government securities dealer activities.
17 CFR 401.5 · Exemption for corporate credit unions transacting limited government securities business with other credit unions.
17 CFR 401.6 · Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
17 CFR 401.7 · Exemption for certain foreign government securities brokers or dealers.
17 CFR 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.
17 CFR 402.2 · Capital requirements for registered government securities brokers and dealers.
17 CFR 402.2a · a Appendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2).
17 CFR 402.2b · b [Reserved]
17 CFR 402.2c · c Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
17 CFR 402.2d · d Appendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.
17 CFR 403.1 · Application of part to registered brokers and dealers.
17 CFR 403.2 · Hypothecation of customer securities.
17 CFR 403.3 · Use of customers' free credit balances.
17 CFR 403.4 · Customer protection—reserves and custody of securities.
17 CFR 403.5 · Custody of securities held by financial institutions that are government securities brokers or dealers.
17 CFR 403.6 · Compliance with part by futures commission merchants.
17 CFR 403.7 · Effective dates.
17 CFR 404.1 · Application of part to registered brokers and dealers.
17 CFR 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.
17 CFR 404.3 · Records to be preserved by registered government securities brokers and dealers.
17 CFR 404.4 · Records to be made and preserved by government securities brokers and dealers that are financial institutions.
17 CFR 404.5 · Securities counts by registered government securities brokers and dealers.
17 CFR 405.1 · Application of part to registered brokers and dealers and to financial institutions; transition rule.
17 CFR 405.2 · Reports to be made by registered government securities brokers and dealers.
17 CFR 405.3 · Notification provisions for certain registered government securities brokers and dealers.
17 CFR 405.4 · Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers.
17 CFR 405.5 · Risk assessment reporting requirements for registered government securities brokers and dealers.
17 CFR 420.1 · Applicability.
17 CFR 420.2 · Definitions.
17 CFR 420.3 · Reporting.
17 CFR 420.4 · Recordkeeping.
17 CFR 420.5 · Applicability date.
17 CFR Appendix A to Part 420 · Appendix A to Part 420—Separate Reporting Entity
17 CFR Appendix B to Part 420 · Appendix B to Part 420—Sample Large Position Report
17 CFR 449.1 · Form G-FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934.
17 CFR 449.2 · Form G-FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.6 of this chapter.
17 CFR 449.3 · Form G-FIN-4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
17 CFR 449.4 · Form G-FIN-5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
17 CFR 449.5 · Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter.
17 CFR 450.1 · Scope of regulations; office responsible.
17 CFR 450.2 · Definitions.
17 CFR 450.3 · Exemption for holdings subject to fiduciary standards.
17 CFR 450.4 · Custodial holdings of government securities.
17 CFR 450.5 · Effective date.
18 CFR 1.101 · Definitions.
18 CFR 1.102 · Words denoting number, gender and so forth.
18 CFR 1b.1 · b.1 Definitions.
18 CFR 1b.2 · b.2 Scope.
18 CFR 1b.3 · b.3 Scope of investigations.
18 CFR 1b.4 · b.4 Types of investigations.
18 CFR 1b.5 · b.5 Formal investigations.
18 CFR 1b.6 · b.6 Preliminary investigations.
18 CFR 1b.7 · b.7 Procedure after investigation.
18 CFR 1b.8 · b.8 Requests for Commission investigations.
18 CFR 1b.9 · b.9 Confidentiality of investigations.
18 CFR 1b.10 · b.10 By whom conducted.
18 CFR 1b.11 · b.11 Limitation on participation.
18 CFR 1b.12 · b.12 Transcripts.
18 CFR 1b.13 · b.13 Powers of persons conducting formal investigations.
18 CFR 1b.14 · b.14 Subpoenas.
18 CFR 1b.15 · b.15 Non-compliance with compulsory processes.