Code of Federal Regulations > Title 17 > Chapter IV > Part 403 - PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 28, 2025

§ 403.1 - Application of part to registered brokers and dealers.

§ 403.2 - Hypothecation of customer securities.

§ 403.3 - Use of customers' free credit balances.

§ 403.4 - Customer protection—reserves and custody of securities.

§ 403.5 - Custody of securities held by financial institutions that are government securities brokers or dealers.

§ 403.6 - Compliance with part by futures commission merchants.

§ 403.7 - Effective dates.