§ 403.1 Application of part to registered brokers and dealers
§ 403.2 Hypothecation of customer securities
§ 403.3 Use of customers’ free credit balances
§ 403.4 Customer protection–reserves and custody of securities
§ 403.5 Custody of securities held by financial institutions that are government securities brokers or dealers
§ 403.6 Compliance with part by futures commission merchants
§ 403.7 Effective dates
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Terms Used In 17 CFR Part 403 - Protection of Customer Securities and Balances

  • Dependent: A person dependent for support upon another.
  • Fiduciary: A trustee, executor, or administrator.
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.
  • Lien: A claim against real or personal property in satisfaction of a debt.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.