17 CFR 404.5
§ 404.5 Securities counts by registered government securities brokers and dealers.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 404.5, § 404.5 Securities counts by registered government securities brokers and dealers, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/70302
- Permanent ID
ys:prov:70302@1- SHA-256
448f3c645098b08941dc1e6baf99cdce9084050897c6ae81a3daa8ba7cab916f
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
(a) Securities counts. Every registered government securities broker or dealer shall comply with the requirements of § 240.17a-13 of this title (Commission Rule 17a-13), with the modification that references to “broker or dealer” and “broker and dealer registered pursuant to Section 15 of the Act” include registered government securities brokers or dealers.
(b) Effective date. This section shall be effective on October 31, 1987.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.