{"data":{"id":"us/17-cfr-404.1","jurisdiction":"us","citation":"17 CFR 404.1","heading":"Application of part to registered brokers and dealers.","body":"Compliance by a registered broker or dealer with § 240.17a-3 of this title (pertaining to records to be made), § 240.17a-4 of this title (pertaining to preservation of records), § 240.17a-13 of this title (pertaining to quarterly securities counts) and § 240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.","path":["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"],"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":"2b1368c86fd7dfee7fcdea0698b185f381f191adf8cf19738df47771fd9da886","source_id":"us-cfr","stale":true,"prev":"us/17-cfr-403.7","next":"us/17-cfr-404.2"},"notice":"GroundRules: Original legal text. Not legal advice."}