31 CFR § 1023.600 - General.

---
identifier: "/us/cfr/t31/s1023.600"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "31 CFR § 1023.600 - General."
title_number: 31
title_name: "Money and Finance: Treasury"
section_number: "1023.600"
section_name: "General."
chapter_name: "FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY"
part_number: "1023"
part_name: "RULES FOR BROKERS OR DEALERS IN SECURITIES"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5314 and 5316-5332; title III, sec. 314, Pub. L. 107-56, 115 Stat. 307; sec. 701, Pub. L. 114-74, 129 Stat. 599."
regulatory_source: "75 FR 65812, Oct. 25, 2010, unless otherwise noted."
cfr_part: "1023"
---


# 1023.600 General.

Brokers or dealers in securities are subject to the special standards of diligence; prohibitions; and special measures requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart F of part 1010 of this chapter for special standards of diligence; prohibitions; and special measures contained in that subpart which apply to brokers or dealers in securities.