Subchap A — Regulations under Section 15c of the Securities Exchange Act of 1934

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• Pt. 400 Rules of General Application §§400.1 to 400.6
• Pt. 401 Exemptions §§401.1 to 401.7
• Pt. 402 Financial Responsibility §§402.1 to 402.2d
• Pt. 403 Protection of Customer Securities and Balances §§403.1 to 403.7
• Pt. 404 Recordkeeping and Preservation of Records §§404.1 to 404.5
• Pt. 405 Reports and Audit §§405.1 to 405.5
• Pt. 420 Large Position Reporting §§420.1 to 420.5
• Pt. 449 Forms, Section 15c of the Securities Exchange Act of 1934 §§449.1 to 449.5