Compliance by a registered broker or dealer with Sec. 240.17a-3 of this title (pertaining to records to be made), Sec. 240.17a-4 of this title (pertaining to preservation of records), Sec. 240.17a-13 of this title (pertaining to quarterly securities counts) and Sec. 240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part. [71 FR 54411, Sept. 15, 2006]