---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chIV/subchA/part402"
level: "part"
label: "Part 402"
heading: "Financial Responsibility"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chIV-subchA-part402"
sections_count: 6
---

# Part 402 — Financial Responsibility

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter IV — Department of the Treasury › Subchapter A — Regulations under Section 15c of the Securities Exchange Act of 1934

## Sections

- [§402.1. Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.](/cfr/17/402.1.md)
- [§402.2. Capital requirements for registered government securities brokers and dealers.](/cfr/17/402.2.md)
- [§402.2a. Appendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2).](/cfr/17/402.2a.md)
- [§402.2b. Reserved](/cfr/17/402.2b.md)
- [§402.2c. Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.](/cfr/17/402.2c.md)
- [§402.2d. Appendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.](/cfr/17/402.2d.md)