cfr_sections
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
5 rows where part_number = 405 and title_number = 17 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 17:17:5.0.2.1.6.0.43.1 | 17 | Commodity and Securities Exchanges | IV | A | 405 | PART 405—REPORTS AND AUDIT | § 405.1 Application of part to registered brokers and dealers and to financial institutions; transition rule. | SEC | [52 FR 27954, July 24, 1987, as amended at 71 FR 54411, Sept. 15, 2006] | (a) Compliance by registered brokers or dealers with §§ 240.17a-5, 240.17a-8, and 240.17a-11 of this title (Commission Rules 17a-5, 17a-8 and 17a-11), including provisions of those rules relating to OTC derivatives dealers, constitutes compliance with this part. (b) A government securities broker or dealer that is a financial institution and is subject to financial reporting rules of its appropriate regulatory agency is exempt from the provisions of §§ 405.2 and 405.3. (c) This part shall be effective July 25, 1987, Provided however, (1) That registered government securities brokers or dealers shall first be required to file the reports required by § 240.17a-5(a), by virtue of § 405.2, for the month and the quarter during which they were first required to comply with part 402 of this chapter other than the interim liquid capital requirements of § 402.1(f); but that (2) For any quarter ending prior to the quarter during which they were first required to comply with part 402 of this chapter other than the interim liquid capital requirements of § 402.1(f), registered government securities brokers or dealers shall file with the designated examining authority for such registered broker or dealer, within 17 business days after the close of the quarter, an unaudited balance sheet (with appropriate notes) for such quarter, prepared in accordance with generally accepted accounting principles. | |||||
| 17:17:5.0.2.1.6.0.43.2 | 17 | Commodity and Securities Exchanges | IV | A | 405 | PART 405—REPORTS AND AUDIT | § 405.2 Reports to be made by registered government securities brokers and dealers. | SEC | [52 FR 27954, July 24, 1987, as amended at 60 FR 11026, Mar. 1, 1995; 64 FR 1737, Jan. 12, 1999; 79 FR 38456, July 8, 2014] | (a) Every registered government securities broker or dealer, except a government securities interdealer broker subject to the financial responsibility requirements of § 402.1(e) of this chapter and a government securities broker or dealer that is also a futures commission merchant registered with the CFTC, shall comply with the requirements of § 240.17a-5 of this title (SEC Rule 17a-5), with the following modifications: (1) References to “broker or dealer” include registered government securities brokers and dealers. (2) References to “rules of the Commission” or words of similar import include, where appropriate, the regulations contained in this subchapter. (3) References to Form X-17A-5 mean Form G-405 (§ 449.5 of this chapter). (4) For the purposes of § 240.17a-5(a)(4) of this title, the Commission may, on the terms and conditions stated in that subparagraph, declare effective a plan with respect to Form G-405, in which case, that plan shall be treated the same as a plan approved with respect to Form X-17A-5. (5) References to “net capital” mean “liquid capital” as defined in § 402.2(d) of this chapter. (6) References to § 240.15c3-1, relating to net capital, mean § 402.2 of this chapter. (7) Paragraph 240.17a-5(c)(2)(ii) is modified to read as follows: “(ii) A footnote containing a statement of the registered government securities broker's or dealer's liquid capital, total haircuts, and ratio of liquid capital to total haircuts, determined in accordance with § 402.2 of this title. Such statement shall include summary financial statements of subsidiaries consolidated pursuant to § 402.2c of this title, where material, and the effect thereof on the liquid capital, total haircuts and ratio of liquid capital to total haircuts of the registered government securities broker or dealer.”. (8) References to § 240.15c3-3 and the exhibits thereto, relating to possession or control of customer securities and reserve requirements, mean § 403.4 of this chapter. (9) The reference to § 240.15b1-2 of this title, re… | |||||
| 17:17:5.0.2.1.6.0.43.3 | 17 | Commodity and Securities Exchanges | IV | A | 405 | PART 405—REPORTS AND AUDIT | § 405.3 Notification provisions for certain registered government securities brokers and dealers. | SEC | [52 FR 27954, July 24, 1987, as amended at 59 FR 53731, Oct. 26, 1994; 59 FR 55910, Nov. 9, 1994; 60 FR 18734, Apr. 13, 1995] | (a) Every registered government securities broker or dealer, other than a government securities interdealer broker that is subject to the financial responsibility requirements of § 402.1(e) and a government securities broker or dealer that is also a futures commission merchant registered with the CFTC, shall comply with the requirements of § 240.17a-11 of this title (SEC Rule 17a-11), with the following modifications: (1) References to “broker or dealer” include registered government securities brokers and dealers. (2) References to § 240.15c3-1, relating to net capital, mean § 402.2 of this chapter. (3) References to “net capital” mean “liquid capital” as defined in § 402.2 of this chapter. (4) References to § 240.17a-5, relating to reports and audit, mean § 405.2(a) of this chapter. (5) Section 240.17a-11(c), for the purposes of this section, is modified to read as follows: “(c) Every registered government securities broker or dealer shall send notice promptly (but within 24 hours) in accordance with paragraph (g) of this section if a computation made pursuant to the requirements of § 402.2 of this title shows, at any time during the month, that its liquid capital is less than 150 percent of total haircuts, determined in accordance with § 402.2 of this title, or that its capital after deducting total haircuts from liquid capital is less than 120 percent of the registered government securities broker or dealer's minimum capital requirement specified in § 402.2 (b) or (c) of this title as applicable.” (6) References to § 240.17a-3, relating to records, mean § 404.2 of this chapter. (b) A government securities interdealer broker that is subject to the financial responsibility requirements of § 402.1(e) of this chapter shall comply with the requirements of § 240.17a-11 of this title (SEC Rule 17a-11), with the following modifications: (1) References to “broker or dealer” include government securities interdealer brokers; (2) References to § 240.15c3-1, relating to net capital, include the modifications co… | |||||
| 17:17:5.0.2.1.6.0.43.4 | 17 | Commodity and Securities Exchanges | IV | A | 405 | PART 405—REPORTS AND AUDIT | § 405.4 Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers. | SEC | Every registered government securities broker or dealer who is subject to the requirements of the Currency and Foreign Transactions Reporting Act of 1970 shall comply with the reporting, recordkeeping and record retention requirements of 31 CFR part 103. Where 31 CFR part 103 and § 404.3 of this chapter require the same records to be preserved for different periods of time, such records or reports shall be preserved for the longer period of time. | ||||||
| 17:17:5.0.2.1.6.0.43.5 | 17 | Commodity and Securities Exchanges | IV | A | 405 | PART 405—REPORTS AND AUDIT | § 405.5 Risk assessment reporting requirements for registered government securities brokers and dealers. | SEC | [60 FR 20401, Apr. 26, 1995, as amended at 79 FR 38456, July 8, 2014] | (a) Every registered government securities broker or dealer shall comply with the requirements of § 240.17h-2T of this title (SEC Rule 17h-2T), with the following modifications: (1) For the purposes of this section, references to “broker or dealer” and “broker or dealer registered with the Commission pursuant to Section 15 of the Act” mean registered government securities brokers or dealers. (2) For the purposes of this section, references to §§ 240.17h-1T and 240.17h-2T of this title mean those sections as modified by §§ 404.2(b) and 405.5, respectively. (3) For the purposes of this section, “associated person” has the meaning set out in Section 3(a)(18) of the Act (15 U.S.C. 78c(a)(18)), except that natural persons are excluded. (4) Paragraph 240.17h-2T(b) of this title is modified to read as follows: “(b) Exemptions. (1) The provisions of this section shall not apply to any registered government securities broker or dealer: “(i) Which is exempt from the provisions of § 240.15c3-3 of this title, as made applicable by § 403.4, pursuant to paragraph (k)(2) of § 240.15c3-3 of this title; or “(ii) If the registered government securities broker or dealer does not qualify for exemption from the provisions of § 240.15c3-3 of this title, as made applicable by § 403.4, and such registered government securities broker or dealer does not hold funds or securities for, or owe money or securities to, customers and does not carry the accounts of, or for, customers; unless “(iii) In the case of paragraphs (b)(1) (i) or (ii) of this section, the registered government securities broker or dealer maintains capital of at least $20,000,000, including debt subordinated in accordance with appendix D of § 240.15c3-1 of this title, as modified by appendix D of § 402.2. “(2) The provisions of this section shall not apply to any registered government securities broker or dealer which maintains capital of less than $250,000, including debt subordinated in accordance with appendix D of § 240.15c3-1 of this title, as modified by … |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);