17 CFR 404.5 - Securities counts by registered government securities brokers and dealers.

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Jan 21, 2026

View all text of Part 404 [§ 404.1 - § 404.5]

§ 404.5 - Securities counts by registered government securities brokers and dealers.

(a) Securities counts. Every registered government securities broker or dealer shall comply with the requirements of § 240.17a-13 of this title (Commission Rule 17a-13), with the modification that references to “broker or dealer” and “broker and dealer registered pursuant to Section 15 of the Act” include registered government securities brokers or dealers.

(b) Effective date. This section shall be effective on October 31, 1987.

(Approved by the Office of Management and Budget under control number 1535-0089) [52 FR 27952, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995]