---
kind: "section"
citation: "17 C.F.R. § 403.1"
title: "17"
number: "403.1"
heading: "Application of part to registered brokers and dealers."
url: "https://uscodex.org/cfr/17/403.1"
---

# §403.1. Application of part to registered brokers and dealers.


With respect to their activities in government securities, compliance by registered brokers or dealers with [§ 240.8c-1](/cfr/17/240.8c-1.md) of this title (SEC [Rule 8c-1](/cfr/17/8c-1.md)), as modified by § [403.2 (a)](/cfr/17/403.2.md?p=a), [(b)](/cfr/17/403.2.md?p=b) and [(c)](/cfr/17/403.2.md?p=c), with [§ 240.15c2-1](/cfr/17/240.15c2-1.md) of this title (SEC [Rule 15c2-1](/cfr/17/15c2-1.md)), with [§ 240.15c3-2](/cfr/17/240.15c3-2.md) of this title (SEC [Rule 15c3-2](/cfr/17/15c3-2.md)), as modified by [§ 403.3](/cfr/17/403.3.md), and with [§ 240.15c3-3](/cfr/17/240.15c3-3.md) of this title (SEC [Rule 15c3-3](/cfr/17/15c3-3.md)), as modified by § [403.4 (a) through (d)](/cfr/17/403.4.md?p=a..d), [(f)(2) through (3)](/cfr/17/403.4.md?p=f-2..f-3), [(g) through (j)](/cfr/17/403.4.md?p=f-g..f-j), and [(m)](/cfr/17/403.4.md?p=f-m), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.


## Notes

### Amendments

[71 FR 54411, Sept. 15, 2006]

### Authority

Authority: Sec. 101, Pub. L. 99-571, 100 Stat. 3209; sec. 4(b), Pub. L. 101-432, 104 Stat. 963; sec. 102, sec. 106, Pub. L. 103-202, 107 Stat. 2344 (15 U.S.C. 78o-5(a)(5), (b)(1)(A), (b)(4)).

### Source

Source: 52 FR 27947, July 24, 1987, unless otherwise noted.

### Amendments

[71 FR 54411, Sept. 15, 2006]