17
Commodity and Securities Exchanges
3
2009-04-01
2009-04-01
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Table Of Contents
Commodity and Securities Exchanges
DEPARTMENT OF THE TREASURY
CHAPTER IV—DEPARTMENT OF THE TREASURY
SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
Part
Page
400
Rules of general application
1001
401
Exemptions
1007
402
Financial responsibility
1012
403
Protection of customer securities and balances
1038
404
Recordkeeping and preservation of records
1046
405
Reports and audit
1052
420
Large position reporting
1057
449
Forms, Section 15C of the Securities Exchange Act of 1934
1063
SUBCHAPTER B—REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986
450
Custodial holdings of government securities by depository institutions
1066