GroundRules
17 CFR 404.5: Securities counts by registered government securities brokers and dealers.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER IV—DEPARTMENT OF THE TREASURY
- SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
- PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
(a) Securities counts. Every registered government securities broker or dealer shall comply with the requirements of § 240.17a-13 of this title (Commission Rule 17a-13), with the modification that references to “broker or dealer” and “broker and dealer registered pursuant to Section 15 of the Act” include registered government securities brokers or dealers.
(b) Effective date. This section shall be effective on October 31, 1987.
Collected 2026-08-27T02:24:31Z. Source file · JSON