FEDERAL · 17 CFR

§ 404.1527 — Not Yet Available

17 C.F.R. § 404.1527

17 C.F.R. § 404.1527 is referenced in other legal documents but could not be loaded from the eCFR.

This section may have been removed, reserved, or renumbered. Browse Part 404 or Title 17 — Commodity and Securities Exchanges for available sections.

Nearby Sections

5

§ 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.