CFR > Title 31 - Money and Finance: Treasury > SUBTITLE B—Regulations Relating to Money and Finance > CHAPTER X—FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY (parts 1000 to 1029) > PART 1023—RULES FOR BROKERS OR DEALERS IN SECURITIES > SUBPART D—Records Required To Be Maintained by Brokers or Dealers in Securities (§1023.400 to §1023.410) > 1023.400—General.

1023.400—General.

Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart D of part 1010 of this chapter for recordkeeping requirements contained in that subpart which apply to brokers or dealers in securities.