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Part 400
FEDERAL · 17 CFR
Part 400 — Rules of General Application
6 sections · Title 17: Commodity and Securities Exchanges
§ 400.1
Scope of regulations.
§ 400.2
Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
§ 400.3
Definitions.
§ 400.4
Information concerning associated persons of financial institutions that are government securities brokers or dealers.
§ 400.5
Amendments to application for registration and to notice of status as a government securities broker or dealer.
§ 400.6
Notice of withdrawal from business as a government securities broker or dealer by a financial institution.