Part 400. PART 400—RULES OF GENERAL APPLICATION

• § 400.1 - Scope of regulations.
• § 400.2 - Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
• § 400.3 - Definitions.
• § 400.4 - Information concerning associated persons of financial institutions that are government securities brokers or dealers.
• § 400.5 - Amendments to application for registration and to notice of status as a government securities broker or dealer.
• § 400.6 - Notice of withdrawal from business as a government securities broker or dealer by a financial institution.