17 C.F.R. § 403.1
Current through May 31, 2024
With respect to their activities in government securities, compliance by registered brokers or dealers with § 240.8c-1 of this title (SEC Rule 8c-1), as modified by § 403.2(a), (b) and (c), with § 240.15c 2-1 of this title (SEC Rule 15c2-1), with § 240.15c 3-2 of this title (SEC Rule 15c3-2), as modified by § 403.3 , and with § 240.15c 3-3 of this title (SEC Rule 15c3-3), as modified by § 403.4(a) through (d) , (f)(2) through (3), (g) through (j), and (m), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.
17 C.F.R. §403.1