---
kind: "section"
citation: "17 C.F.R. § 404.1"
title: "17"
number: "404.1"
heading: "Application of part to registered brokers and dealers."
url: "https://uscodex.org/cfr/17/404.1"
---

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


Compliance by a registered broker or dealer with [§ 240.17a-3](/cfr/17/240.17a-3.md) of this title (pertaining to records to be made), [§ 240.17a-4](/cfr/17/240.17a-4.md) of this title (pertaining to preservation of records), [§ 240.17a-13](/cfr/17/240.17a-13.md) of this title (pertaining to quarterly securities counts) and [§ 240.17a-7](/cfr/17/240.17a-7.md) 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

[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]