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.