SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 (parts 400 to 449)
- PART 400—RULES OF GENERAL APPLICATION
- PART 401—EXEMPTIONS
- PART 402—FINANCIAL RESPONSIBILITY
- PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES
- PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
- PART 405—REPORTS AND AUDIT
- PART 420—LARGE POSITION REPORTING
- PART 449—FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934