Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.240.3a40–1 Designation of financial responsibility rules

(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;

(b) Any rule adopted by the Commission relating to hypothecation or lending of customer securities;

(c) Any rule adopted by any self-regulatory organization relating to capital, margin, recordkeeping, hypothecation or lending requirements;  and

(d) Any other rule adopted by the Commission or any self-regulatory organization relating to the protection of funds or securities.