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Notes

§405.5. Risk assessment reporting requirements for registered government securities brokers and dealers. — Inbound Citations

17 C.F.R. § 405.5

Statutory Authority

15 U.S.C. § 78o-5

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Cited by 2 regulations in release Current.

Citations to 17 U.S.C. § 405.5 as a whole

17 C.F.R. § 404.2(b)(2)

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(2) For the purposes of this section, references to §§ 240.17h-1T and 240.17h-2T of this title mean those sections as modified by §§ 404.2(b) and 405.5, respectively.
17 C.F.R. § 405.5(a)(2)

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(2) For the purposes of this section, references to §§ 240.17h-1T and 240.17h-2T of this title mean those sections as modified by §§ 404.2(b) and 405.5, respectively.