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 TH...
/
PART 400—RULES OF GENERAL APPLICATION
PART 400—RULES OF GENERAL APPLICATION
§ 400.1 - Scope of regulations.
§ 400.2 - Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
§ 400.3 - Definitions.
§ 400.4 - Information concerning associated persons of financial institutions that are government securities brokers or dealers.
§ 400.5 - Amendments to application for registration and to notice of status as a government securities broker or dealer.
§ 400.6 - Notice of withdrawal from business as a government securities broker or dealer by a financial institution.