§404.1. Application of part to registered brokers and dealers.
17 C.F.R. § 404.1
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.
Notes, amendments, and revision history
Amendments
[71 FR 54411, Sept. 15, 2006]
Authority
Authority: 15 U.S.C. 78o-5 (b)(1)(B), (b)(1)(C), (b)(2), (b)(4).
Source
Source: 52 FR 27952, July 24, 1987, unless otherwise noted.
Amendments
[71 FR 54411, Sept. 15, 2006]