---
kind: "section"
citation: "17 C.F.R. § 404.5"
title: "17"
number: "404.5"
heading: "Securities counts by registered government securities brokers and dealers."
url: "https://uscodex.org/cfr/17/404.5"
---

# §404.5. Securities counts by registered government securities brokers and dealers.

- (a) **Securities counts.** Every registered government securities broker or dealer shall comply with the requirements of [§ 240.17a-13](/cfr/17/240.17a-13.md) of this title (Commission [Rule 17a-13](/cfr/17/17a-13.md)), with the modification that references to “broker or dealer” and “broker and dealer registered pursuant to Section 15 of the Act” include registered government securities brokers or dealers.
- (b) **Effective date.** This section shall be effective on October 31, 1987.

## Notes

### Amendments

[52 FR 27952, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995]

### 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

[52 FR 27952, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995]