17 C.F.R. § 403.3   Use of customers' free credit balances.


Title 17 - Commodity and Securities Exchanges


Title 17: Commodity and Securities Exchanges
PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES

Browse Previous |  Browse Next

§ 403.3   Use of customers' free credit balances.

Every registered government securities broker or dealer shall comply with the requirement of §240.15c3–2 of this title concerning the use of customer free credit balances. For purposes of this section, all references to “broker or dealer” in §240.15c3–2 shall include government securities brokers and dealers.

Browse Previous |  Browse Next






















chanrobles.com


ChanRobles Legal Resources:

ChanRobles On-Line Bar Review

ChanRobles Internet Bar Review : www.chanroblesbar.com

ChanRobles MCLE On-line

ChanRobles Lawnet Inc. - ChanRobles MCLE On-line : www.chanroblesmcleonline.com