Government Securities: Rule by Rule

Overview

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GSA Rules Part 400 through 403

GSA Rules Part 404 through 450

  • GSA Rules Part 404 (Recordkeeping and Preservation)
  • GSA Rule 404.1 (Application of part to registered brokers and dealers)  
  • GSA Rule 404.2 (Records to be made and kept current by registered government securities brokers and dealers) 
  • GSA Rule 404.3 (Records to be preserved by registered government securities brokers and dealers) 
  • GSA Rule 404.4 (Records to be made and preserved by government securities brokers and dealers that are financial institutions)
  • GSA Rule 404.5 (Securities counts by registered government securities brokers and dealers)
  • GSA Rules Part 405 (Reports and Audit)
  • GSA Rule 405.1 (Application of part to registered brokers and dealers and to financial institutions; transition rule) 
  • GSA Rule 405.2 (Reports to be made by registered government securities brokers and dealers)
  • GSA Rule 405.3 (Notification provisions for certain registered government securities brokers and dealers)
  • GSA Rule 405.4 (Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers)
  • GSA Rule 405.5 (Risk assessment reporting requirements for registered government securities brokers and dealers) 
  • GSA Rules Part 420 (Large Position Reporting) (Member Agreements and Contracts)
  • GSA Rule 420.1 (Applicability) 
  • GSA Rule 420.2 (Definitions) 
  • GSA Rule 420.3 (Reporting) 
  • GSA Rule 420.4 (Recordkeeping) 
  • GSA Rule 420.5 (Applicability date)
  • Appendix A to GSA Rules Part 420 (Separate Reporting Entity) 
  • Appendix B to GSA Rules Part 420 (Sample Large Position Report)
  • GSA Rules Part 449 (Forms)
  • GSA Rule 449.1 (Form G-FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934) 
  • GSA Rule 449.2 (Form G-FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.6 of this chapter)
  • GSA Rule 449.3 (Form G-FIN-4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter) 
  • GSA Rule 449.4 (Form G-FIN-5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter) 
  • GSA Rule 449.5 (Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter)
  • GSA Rules Part 450 (Custodial Holdings of Government Securities by Depository Institutions)
  • GSA Rule 450.1 (Scope of regulations; office responsible)
  • GSA Rule 450.2 (Definitions)
  • GSA Rule 450.3 (Exemption for holdings subject to fiduciary standards) 
  • GSA Rule 450.4 (Custodial holdings of government securities) 
  • GSA Rule 450.5 (Effective date) 
 

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Overview Documents

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