Title 17, Part 400 — Rules of General Application
6 sections
Section 400.1
Scope of regulations.
Section 400.2
Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
Section 400.3
Definitions.
Section 400.4
Information concerning associated persons of financial institutions that are government securities brokers or dealers.
Section 400.5
Amendments to application for registration and to notice of status as a government securities broker or dealer.
Section 400.6
Notice of withdrawal from business as a government securities broker or dealer by a financial institution.