Section 240.3a40-1 - Designation of financial responsibility rulesThe term financial responsibility rules for purposes of the Securities Investor Protection Act of 1970 shall include:
(a) Any rule adopted by the Commission pursuant to sections 8, 15(c)(3), 17(a) or 17(e)(1)(A) of the Securities Exchange Act of 1934;(b) Any rule adopted by the Commission relating to hypothecation or lending of customer securities;(c) Any rule adopted by any self-regulatory organization relating to capital, margin, recordkeeping, hypothecation or lending requirements; and(d) Any other rule adopted by the Commission or any self-regulatory organization relating to the protection of funds or securities.44 FR 28318, May 15, 1979 Secs. 3, 15(c)(3), 17(a) and 23 (15 U.S.C. 78c , 78o , 78q(a) and 78u )