17 C.F.R. § 404.1 Application of part to registered brokers and dealers.
Title 17 - Commodity and Securities Exchanges
Compliance by a registered broker or dealer with §240.17a–3 of this title (pertaining to records to be made), §240.17a–4 of this title (pertaining to preservation of records), §240.17a–13 of this title (pertaining to quarterly securities counts) and §240.17a–7 of this title (pertaining to records of non-resident brokers or dealers) shall constitute compliance with this part.
Title 17: Commodity and Securities Exchanges
PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
§ 404.1 Application of part to registered brokers and dealers.
