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Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.404.5 Securities counts by registered government securities brokers and dealers

Current as of January 02, 2025 | Updated by Findlaw Staff

(a) Securities counts. Every registered government securities broker or dealer shall comply with the requirements of § 240.17a–13 of this title (Commission Rule 17a–13), with the modification that references to “broker or dealer” and “broker and dealer registered pursuant to Section 15 of the Act” include registered government securities brokers or dealers.

(b) Effective date. This section shall be effective on October 31, 1987.

(Approved by the Office of Management and Budget under control number 1535–0089)

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Cite this article: FindLaw.com - Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.404.5 Securities counts by registered government securities brokers and dealers - last updated January 02, 2025 | https://codes.findlaw.com/cfr/title-17-commodity-and-securities-exchanges/cfr-sect-17-404-5/

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