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17 C.F.R. PART 404--RECORDKEEPING AND PRESERVATION OF RECORDS

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 404--RECORDKEEPING AND PRESERVATION OF RECORDS

�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.