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U.S. Code of Federal Regula...
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Title 17—Commodity and Secu...
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CHAPTER IV—DEPARTMENT OF TH...
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PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
§ 404.1 - Application of part to registered brokers and dealers.
§ 404.2 - Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
§ 404.3 - Records to be preserved by registered government securities brokers and dealers.
§ 404.4 - Records to be made and preserved by government securities brokers and dealers that are financial institutions.
§ 404.5 - Securities counts by registered government securities brokers and dealers.