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12 C.F.R. Part 12 – Recordkeeping and Confirmation Requirements for Securities Transactions | Midpage
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Code of Federal Regulations
Title 12
Chapter I
Part 12
12 C.F.R. Part 12
Recordkeeping and Confirmation Requirements for Securities Transactions
12.1
Authority, purpose, and scope.
12.2
Definitions.
12.3
Recordkeeping.
12.4
Content and time of notification.
12.5
Notification by agreement; alternative forms and times of notification.
12.6
Fees.
12.7
Securities trading policies and procedures.
12.8
Waivers.
12.9
Settlement of securities transactions.