Government Securities Rules: Rule by Rule

Overview

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GSA Rules Part 400 to 403

  • GSA Rules Part 400 (Rules of General Application)
  • GSA Rule 400.1 (Scope of Regulations) | Topic Page
  • GSA Rule 400.2 (Office responsible for regulations) | Topic Page
  • GSA Rule 400.3 (Definitions) | Topic Page
  • GSA Rule 400.4 (Information concerning associated persons) | Topic Page
  • GSA Rule 400.5 (Amendments to application for registration) | Topic Page
  • GSA Rule 400.6 (Notice of withdrawal) | Topic Page
  • GSA Rules Part 401 (Exemptions from Registration) 
  • GSA Rule 401.1 (Exemption for organizations handling transactions in United States Savings Bonds) | Topic Page
  • GSA Rule 401.2 (Exemption for depository institutions) | Topic Page
  • GSA Rule 401.3 (Exemption for financial institutions: brokerage activities) | Topic Page
  • GSA Rule 401.4 (Exemption for financial institutions: securities dealer activities) | Topic Page
  • GSA Rule 401.5 (Exemption for corporate credit unions) | Topic Page
  • GSA Rule 401.6 (Exemption for branches and agencies of foreign banks) | Topic Page
  • GSA Rule 401.7 (Exemption for certain foreign government securities brokers or dealers | Topic Page
  • GSA Rules Part 402 (Financial Responsibility)
  • GSA Rule 402.1 (Application of part to registered brokers and dealers and financial institutions) | Topic Page
  • GSA Rule 402.2 (Capital requirements for registered government securities brokers and dealers) | Topic Page
  • GSA Rule 402.2a (Appendix A - Calculation of market risk haircut for purposes of § 402.2(g)(2)) | Topic Page
  • GSA Rule 402.2b (Reserved) | Topic Page
  • GSA Rule 402.2c (Appendix C - Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates) | Topic Page
  • GSA Rule 402.2d (Appendix D - Modification of § 240.15c3-1d of this title) | Topic Page
  • GSA Rule 402.2e (Appendix E - Temporary minimum requirements) | Topic Page
  • GSA Rules Part 403 (Protection of Customer Securities and Balances)
  • GSA Rule 403.1 (Application of part to registered brokers and dealers) | Topic Page
  • GSA Rule 403.2 (Hypothecation of customer securities) | Topic Page
  • GSA Rule 403.3 (Use of customers' free credit balances) | Topic Page
  • GSA Rule 403.4 (Customer protection-reserves and custody of securities) | Topic Page
  • GSA Rule 403.5 (Custody of securities held by financial institutions that are government securities brokers or dealers) | Topic Page
  • GSA Rule 403.6 (Compliance with part by futures commission merchants) | Topic Page
  • GSA Rule 403.7 (Effective dates) | Topic Page

GSA Rules Part 404 to 450

  • GSA Rules Part 404 (Recordkeeping and Preservation) 
  • GSA Rule 404.1 (Application of part to registered brokers and dealers) | Topic Page
  • GSA Rule 404.2 (Records to be made and kept current by registered government securities brokers and dealers) | Topic Page
  • GSA Rule 404.3 (Records to be preserved by registered government securities brokers and dealers) | Topic Page
  • GSA Rule 404.4 (Records to be made and preserved by government securities brokers and dealers that are financial institutions) | Topic Page
  • GSA Rule 404.5 (Securities counts by registered government securities brokers and dealers) | Topic Page
  • 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) | Topic Page
  • GSA Rule 405.2 (Reports to be made by registered government securities brokers and dealers) | Topic Page
  • GSA Rule 405.3 (Notification provisions for certain registered government securities brokers and dealers) | Topic Page
  • GSA Rule 405.4 (Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers) | Topic Page
  • GSA Rule 405.5 (Risk assessment reporting requirements for registered government securities brokers and dealers) | Topic Page
  • GSA Rules Part 420 (Large Position Reporting) (Member Agreements and Contracts)
  • GSA Rule 420.1 (Applicability) | Topic Page
  • GSA Rule 420.2 (Definitions) | Topic Page
  • GSA Rule 420.3 (Reporting) | Topic Page
  • GSA Rule 420.4 (Recordkeeping) | Topic Page
  • GSA Rule 420.5 (Applicability date) | Topic Page
  • Appendix A to GSA Rules Part 420 (Separate Reporting Entity) | Topic Page
  • Appendix B to GSA Rules Part 420 (Sample Large Position Report) | Topic Page
  • 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) | Topic Page
  • 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) | Topic Page
  • 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) | Topic Page
  • 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) | Topic Page
  • 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) | Topic Page
  • GSA Rules Part 450 (Custodial Holdings of Government Securities by Depository Institutions)
  • GSA Rule 450.1 (Scope of regulations; office responsible) | Topic Page
  • GSA Rule 450.2 (Definitions) | Topic Page
  • GSA Rule 450.3 (Exemption for holdings subject to fiduciary standards) | Topic Page
  • GSA Rule 450.4 (Custodial holdings of government securities) | Topic Page
  • GSA Rule 450.5 (Effective date) | Topic Page
 

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Overview Documents

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