Federal (United States) · Regulations
Subpart G — Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
9 sections
9 sections
- 17 C.F.R. § 249.617Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.
- 17 C.F.R. § 249.618Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.
- 17 C.F.R. § 249.619Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.
- 17 C.F.R. § 249.635Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
- 17 C.F.R. § 249.637Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
- 17 C.F.R. § 249.638Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.
- 17 C.F.R. § 249.639Form custody.
- 17 C.F.R. § 249.640Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.
- 17 C.F.R. § 249.641Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.