Title 17, Part 403 — Protection of Customer Securities and Balances
7 sections
Section 403.1
Application of part to registered brokers and dealers.
Section 403.2
Hypothecation of customer securities.
Section 403.3
Use of customers' free credit balances.
Section 403.4
Customer protection—reserves and custody of securities.
Section 403.5
Custody of securities held by financial institutions that are government securities brokers or dealers.
Section 403.6
Compliance with part by futures commission merchants.
Section 403.7
Effective dates.