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Title 17
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Part 404
FEDERAL · 17 CFR
Part 404 — Recordkeeping and Preservation of Records
5 sections · Title 17: Commodity and Securities Exchanges
§ 404.1
Application of part to registered brokers and dealers.
§ 404.2
Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
§ 404.3
Records to be preserved by registered government securities brokers and dealers.
§ 404.4
Records to be made and preserved by government securities brokers and dealers that are financial institutions.
§ 404.5
Securities counts by registered government securities brokers and dealers.