Source: http://www.law.cornell.edu/cfr/text/17/403.1
Timestamp: 2014-08-29 19:04:54
Document Index: 437492732

Matched Legal Cases: ['art 403', '§ 240', '§ 403', '§ 240', '§ 240', '§ 403', '§ 240', '§ 403']

17 CFR 403.1 - Application of part to registered brokers and dealers. | LII / Legal Information Institute
CFR › Title 17 › Chapter IV › Subchapter A › Part 403 › Section 403.1 17 CFR 403.1 - Application of part to registered brokers and dealers.
With respect to their activities in government securities, compliance by registered brokers or dealers with § 240.8c-1 of this title (SEC Rule 8c-1), as modified by § 403.2 (a), (b) and (c), with § 240.15c2-1 of this title (SEC Rule 15c2-1), with § 240.15c3-2 of this title (SEC Rule 15c3-2), as modified by § 403.3, and with § 240.15c3-3 of this title (SEC Rule 15c3-3), as modified by § 403.4 (a) through (d), (f)(2) through (3), (g) through (j), and (m), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.