17 CFR 240.3a40-1

§ 240.3a40-1 Designation of financial responsibility rules.

United States · 17 CFR — Commodity and Securities Exchanges · Status: effective

Cite this

Citation: 17 CFR 240.3a40-1, § 240.3a40-1 Designation of financial responsibility rules, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68897
Permanent ID: ys:prov:68897@1
SHA-256: 2cf91f320290c64b1d691f14dd30e9cc9e9813ef50b2cc40e2c2140be2b54993

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Full text

The term financial responsibility rules for purposes of the Securities Investor Protection Act of 1970 shall include: (a) Any rule adopted by the Commission pursuant to sections 8, 15(c)(3), 17(a) or 17(e)(1)(A) of the Securities Exchange Act of 1934; (b) Any rule adopted by the Commission relating to hypothecation or lending of customer securities; (c) Any rule adopted by any self-regulatory organization relating to capital, margin, recordkeeping, hypothecation or lending requirements; and (d) Any other rule adopted by the Commission or any self-regulatory organization relating to the protection of funds or securities.

Legislative history

This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.