Title 17, Part 402 — Financial Responsibility
6 sections
Section 402.1
Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.
Section 402.2
Capital requirements for registered government securities brokers and dealers.
Section 402.2a
Appendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2).
Section 402.2b
[Reserved]
Section 402.2c
Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
Section 402.2d
Appendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.