Title 17--Commodity and Securities Exchanges

CHAPTER IV--DEPARTMENT OF THE TREASURY

PART 400--RULES OF GENERAL APPLICATION

TEXT PDF400.1 Scope of regulations.
TEXT PDF400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
TEXT PDF400.3 Definitions.
TEXT PDF400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers.
TEXT PDF400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer.
TEXT PDF400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution.

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