12 CFR Part 12 - 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.
Source:
61 FR 63965, Dec. 2, 1996, unless otherwise noted.