§ 240.3a40-1. Designation of financial responsibility rules.
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/us/cfr/t17/s§ 240.3a40-1·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
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. (Secs. 3, 15(c)(3), 17(a) and 23 (15 U.S.C. 78c, 78o, 78q(a) and 78u)) \[44 FR 28318, May 15, 1979\]
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§ 240.3a40-1
Designation of financial responsibility rules.
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