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U.S. Code of Federal Regulations
Regulations most recently checked for updates: Sep 16, 2025
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Title 17
Chapter IV
Part 400 - PART 400—RULES OF GENERAL APPLICATION
§ 400.1 - Scope of regulations.
§ 400.2 - Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
§ 400.3 - Definitions.
§ 400.4 - Information concerning associated persons of financial institutions that are government securities brokers or dealers.
§ 400.5 - Amendments to application for registration and to notice of status as a government securities broker or dealer.
§ 400.6 - Notice of withdrawal from business as a government securities broker or dealer by a financial institution.
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