Tap any paragraph to write a margin note. Your notes collect in the Desk below the text and file under cases with @. The side-by-side margin rail opens on a larger screen.

§
Marginalia
Code · CFR · Title 17 — Commodity and Securities Exchanges · Part 404 — Recordkeeping and Preservation of Records · § 404.1

§ 404.1. Application of part to registered brokers and dealers.

74 words·~1 min read·/us/cfr/t17/s§ 404.1·

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

Compliance by a registered broker or dealer with § 240.17a-3 of this title (pertaining to records to be made), § 240.17a-4 of this title (pertaining to preservation of records), § 240.17a-13 of this title (pertaining to quarterly securities counts) and § 240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part. \[71 FR 54411, Sept. 15, 2006\]
Connections2 cite this
Cited by 2 sections
Citation graph
cites case law
§ 404.1
Application of part to registered brokers and dealers.
Fed. Reg.×2
Cites 0Cited by 2 across 1 source
★   the supreme law of the land   ★
Don't Tread on Me
E Pluribus Unum — out of many, one

"If you don't know your rights, you don't have any."

Marginalia · a citizen's law index
A research desk, not legal advice. Always read the cited source before relying on a summary.
Questions or an issue? support@self-law.org
disclaimerMarginalia is a research index, not a law firm. Nothing on this site is legal, tax, or financial advice and no attorney–client relationship is formed by using it. Statutes, regulations, and case law change; summaries, search results, AI output, and member posts may be incomplete, out of date, or wrong. Any interpretation drawn from material on this site should be validated by a licensed attorney in your jurisdiction before you act on it.