1. Regulations
  2. title 31
  3. chapter X
  4. part 1023
  5. subpart D
  6. § 1023.400

View all text of Subpart D [§ 1023.400 - § 1023.410]

§ 1023.400 - General.

Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart D of part 1010 of this chapter for recordkeeping requirements contained in that subpart which apply to brokers or dealers in securities.

AUTHORITY: 12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5314 and 5316-5332; title III, sec. 314, Pub. L. 107-56, 115 Stat. 307; sec. 701, Pub. L. 114-74, 129 Stat. 599.

SOURCE: 75 FR 65812, Oct. 25, 2010, unless otherwise noted.

CITE AS: 31 CFR 1023.400