Part 400 - RULES OF GENERAL APPLICATION

Section 400.1 - Scope of regulations
Section 400.2 - Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials
Section 400.3 - Definitions
Section 400.4 - Information concerning associated persons of financial institutions that are government securities brokers or dealers
Section 400.5 - Amendments to application for registration and to notice of status as a government securities broker or dealer
Section 400.6 - Notice of withdrawal from business as a government securities broker or dealer by a financial institution