Code of Federal Regulations

  1. Title 17
  2. Chapter IV
Title 17 Commodity and Securities Exchanges Part / Section
Chapter IV Department of the Treasury 400 – 499
Subchapter A Regulations Under Section 15C of the Securities Exchange Act of 1934 400 – 449
Part 400 Rules of General Application 400.1 – 400.6
Part 401 Exemptions 401.1 – 401.7
Part 402 Financial Responsibility 402.1 – 402.2d
Part 403 Protection of Customer Securities and Balances 403.1 – 403.7
Part 404 Recordkeeping and Preservation of Records 404.1 – 404.5
Part 405 Reports and Audit 405.1 – 405.5
Part 420 Large Position Reporting 420.1 – 420.5
Part 449 Forms, Section 15C of the Securities Exchange Act of 1934 449.1 – 449.5
Subchapter B Regulations Under Title II of the Government Securities Act of 1986 450 – 499
Part 450 Custodial Holdings of Government Securities by Depository Institutions 450.1 – 450.5
Parts 451-499 Parts 451-499 [Reserved]