§ 400.1 Scope of regulations
§ 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials
§ 400.3 Definitions
§ 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers
§ 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer
§ 400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution
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Terms Used In 17 CFR Part 400 - Rules of General Application

  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Executor: A male person named in a will to carry out the decedent
  • Federal Reserve System: The central bank of the United States. The Fed, as it is commonly called, regulates the U.S. monetary and financial system. The Federal Reserve System is composed of a central governmental agency in Washington, D.C. (the Board of Governors) and twelve regional Federal Reserve Banks in major cities throughout the United States. Source: OCC
  • Fiduciary: A trustee, executor, or administrator.
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Trustee: A person or institution holding and administering property in trust.