31 CFR 589.342
§ 589.342 U.S.-registered broker or dealer in securities.
United States · 31 CFR — Money and Finance: Treasury · Status: effective
Cite this
- Citation
- 31 CFR 589.342, § 589.342 U.S.-registered broker or dealer in securities, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/143333
- Permanent ID
ys:prov:143333@1- SHA-256
1ff3c055766bef46fe9f41d20ee763ab9cad18dbb1adc3c400ce7a14564ad65d
The hash is SHA-256 of this version's text, with every run of whitespace collapsed to a single space and the ends trimmed. The ID always leads back here, and checking it says whether the text you cited is still the current version.
Full text
The term U.S.-registered broker or dealer in securities means any U.S. citizen, permanent resident alien, or entity organized under the laws of the United States or of any jurisdiction within the United States (including its foreign branches), or any agency, office, or branch of a foreign entity located in the United States, that:
(a) Is a “broker” or “dealer” in securities within the meanings set forth in the Securities Exchange Act of 1934;
(b) Holds or clears customer accounts; and
(c) Is registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.