---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chIV/subchA"
level: "subchap"
label: "Subchapter A"
heading: "Regulations under Section 15c of the Securities Exchange Act of 1934"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chIV-subchA"
sections_count: 46
---

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

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter IV — Department of the Treasury

## Contents

- [Part 400 — Rules of General Application](/cfr/17/chIV-subchA-part400.md)
- [Part 401 — Exemptions](/cfr/17/chIV-subchA-part401.md)
- [Part 402 — Financial Responsibility](/cfr/17/chIV-subchA-part402.md)
- [Part 403 — Protection of Customer Securities and Balances](/cfr/17/chIV-subchA-part403.md)
- [Part 404 — Recordkeeping and Preservation of Records](/cfr/17/chIV-subchA-part404.md)
- [Part 405 — Reports and Audit](/cfr/17/chIV-subchA-part405.md)
- [Part 420 — Large Position Reporting](/cfr/17/chIV-subchA-part420.md)
- [Part 449 — Forms, Section 15c of the Securities Exchange Act of 1934](/cfr/17/chIV-subchA-part449.md)