Individuals & Families
Small Businesses
Nonprofits
Employers
Employee Benefits Brokers
PEOs
Credit Unions
Membership Groups
Legal Information
Sign In
/
U.S. Code of Federal Regula...
/
Title 17—Commodity and Secu...
/
CHAPTER IV—DEPARTMENT OF THE TREASURY
CHAPTER IV—DEPARTMENT OF THE TREASURY
PART 400—RULES OF GENERAL APPLICATION
PART 401—EXEMPTIONS
PART 402—FINANCIAL RESPONSIBILITY
PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES
PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
PART 405—REPORTS AND AUDIT
PART 420—LARGE POSITION REPORTING
PART 449—FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
PART 450—CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS