Must I comply with this part?

CFR · 2024-01-01 · US · Title 12

(a) (1) You effect a securities transaction for a customer. (2) You effect a transaction in government securities. (3) You effect a transaction in municipal securities and are not registered as a municipal securities dealer with the SEC. (4) You effect a securities transaction as fiduciary. You also must comply with 12 CFR part 150 when you effect such a transaction. (b) (2) (3) (4) (5)

official document · source cfr-2024 · id 12:§ 151.20