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Notes

§449.5. Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter. — Inbound Citations

17 C.F.R. § 449.5

Statutory Authority

15 U.S.C. § 78o-5

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Cited by 2 regulations in release Current.

Citations to 17 C.F.R. § 449.5 as a whole

17 C.F.R. § 404.3(a)(5)

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(5) References to Form X-17A-5 mean Form G-405 (§ 449.5 of this chapter).
17 C.F.R. § 405.2(a)(3)

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(3) References to Form X-17A-5 mean Form G-405 (§ 449.5 of this chapter).