Preservation of Records and Reports of Certain Stabilizing Activities | MidpagePreservation of Records and Reports of Certain Stabilizing Activities
240.17a-1Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.240.17a-2Recordkeeping requirements relating to stabilizing activities.240.17a-3Records to be made by certain exchange members, brokers and dealers.240.17a-4Records to be preserved by certain exchange members, brokers and dealers.240.17a-5Reports to be made by certain brokers and dealers.240.17a-6Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.240.17a-7Records of non-resident brokers and dealers.240.17a-8Financial recordkeeping and reporting of currency and foreign transactions.240.17a-9TRecords to be made and retained by certain exchange members, brokers and dealers.240.17a-10Report on revenue and expenses.240.17a-11Notification provisions for brokers and dealers.240.17a-12Reports to be made by certain OTC derivatives dealers.240.17a-13Quarterly security counts to be made by certain exchange members, brokers, and dealers.240.17a-14Form CRS, for preparation, filing and delivery of Form CRS.240.17a-18[Reserved]240.17a-19Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.240.17a-21Reports of the Municipal Securities Rulemaking Board.240.17a-22Supplemental material of registered clearing agencies.240.17a-25Electronic submission of securities transaction information by exchange members, brokers, and dealers.240.17d-1Examination for compliance with applicable financial responsibility rules.240.17d-2Program for allocation of regulatory responsibility.240.17f-1Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.240.17f-2Fingerprinting of securities industry personnel.