17 C.F.R. PART 400--RULES OF GENERAL APPLICATION
TITLE 17--Commodity and Securities Exchanges
CHAPTER IV--DEPARTMENT OF THE TREASURY
SUBCHAPTER A--REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
PART 400--RULES OF GENERAL APPLICATION
|
|
| Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
|
|
|
|
| Information concerning associated persons of financial institutions that are government securities brokers or dealers.
|
|
|
|
| Amendments to application for registration and to notice of status as a government securities broker or dealer.
|
|
|
|
| Notice of withdrawal from business as a government securities broker or dealer by a financial institution.
|
|
