Federal (United States) · Regulations
Part 12 — RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
9 sections
9 sections
- 12 C.F.R. § 12.1Authority, purpose, and scope.
- 12 C.F.R. § 12.2Definitions.
- 12 C.F.R. § 12.3Recordkeeping.
- 12 C.F.R. § 12.4Content and time of notification.
- 12 C.F.R. § 12.5Notification by agreement; alternative forms and times of notification.
- 12 C.F.R. § 12.6Fees.
- 12 C.F.R. § 12.7trading policies and procedures.
- 12 C.F.R. § 12.8Waivers.
- 12 C.F.R. § 12.9Settlement of securities transactions.