Code of Federal Regulations (alpha)

CFR /  Title 17  /  Part 403  /  Sec. 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 Sec. 240.8c-1 of this title (SEC Rule 8c-1), as modified by Sec. 403.2 (a), (b) and (c), with Sec. 240.15c2-1 of this title (SEC Rule 15c2-1), with Sec. 240.15c3-2 of this title (SEC Rule 15c3-2), as modified by Sec. 403.3, and with Sec. 240.15c3-3 of this title (SEC Rule 15c3-3), as modified by Sec. 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. [71 FR 54411, Sept. 15, 2006]