17 CFR § 404.1 - Application of part to registered brokers and dealers.
---
identifier: "/us/cfr/t17/s404.1"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 404.1 - Application of part to registered brokers and dealers."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "404.1"
section_name: "Application of part to registered brokers and dealers."
chapter_name: "DEPARTMENT OF THE TREASURY"
subchapter_number: "A"
subchapter_name: "REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934"
part_number: "404"
part_name: "RECORDKEEPING AND PRESERVATION OF RECORDS"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 78o-5 (b)(1)(B), (b)(1)(C), (b)(2), (b)(4)."
regulatory_source: "52 FR 27952, July 24, 1987, unless otherwise noted."
cfr_part: "404"
---
# 404.1 Application of part to registered brokers and dealers.
Compliance by a registered broker or dealer with § 240.17a-3 of this title (pertaining to records to be made), § 240.17a-4 of this title (pertaining to preservation of records), § 240.17a-13 of this title (pertaining to quarterly securities counts) and § 240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.
[71 FR 54411, Sept. 15, 2006]