{"data":{"id":"us/17-cfr-240.3a40-1","jurisdiction":"us","citation":"17 CFR 240.3a40-1","heading":"a40-1 Designation of financial responsibility rules.","body":"The term financial responsibility rules for purposes of the Securities Investor Protection Act of 1970 shall include:\n(a) Any rule adopted by the Commission pursuant to sections 8, 15(c)(3), 17(a) or 17(e)(1)(A) of the Securities Exchange Act of 1934;\n(b) Any rule adopted by the Commission relating to hypothecation or lending of customer securities;\n(c) Any rule adopted by any self-regulatory organization relating to capital, margin, recordkeeping, hypothecation or lending requirements; and\n(d) Any other rule adopted by the Commission or any self-regulatory organization relating to the protection of funds or securities.","path":["Title 17—Commodity and Securities Exchanges","CHAPTER II—SECURITIES AND EXCHANGE COMMISSION","PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934","Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934"],"source_url":"https://www.ecfr.gov/api/versioner/v1/full/2026-08-25/title-17.xml","current_through":"2026-08-25","vintage":"","retrieved_at":"2026-08-27T02:24:31Z","sha256":"a6ed0298ad5e0116123d5acf1ab4345ffecefdf7f48ecd5c1cfd5b75e461ced9","source_id":"us-cfr","stale":true,"prev":"us/17-cfr-240.3a12-12","next":"us/17-cfr-240.3a43-1"},"notice":"GroundRules: Original legal text. Not legal advice."}