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  3. Bank Secrecy Act Regulations (Department of the Treasury, FinCEN)
  4. PART 1023
  5. SUBPART D
  6. SECTION 1023.400
3-1723.5

SUBPART D—RECORDS REQUIRED TO BE MAINTAINED BY BROKERS OR DEALERS IN SECURITIES

SECTION 1023.400—General

Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart D of part 1010 of this chapter for recordkeeping requirements contained in that subpart which apply to brokers or dealers in securities.
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