17 CFR § 404.5 - Securities counts by registered government securities brokers and dealers.
---
identifier: "/us/cfr/t17/s404.5"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 404.5 - Securities counts by registered government securities brokers and dealers."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "404.5"
section_name: "Securities counts by registered government securities 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"
---
# 404.5 Securities counts by registered government securities brokers and dealers.
(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)
[52 FR 27952, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995]