12 CFR Part 151
PART 151—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
- PART 151—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
- Chapter I—Comptroller of the Currency, Department of the Treasury
- § 151.10 What does this part do?
- § 151.20 Must I comply with this part?
- § 151.30 What requirements apply to all transactions?
- § 151.40 What definitions apply to this part?
- Subpart A—Recordkeeping Requirements
- § 151.50 What records must I maintain for securities transactions?
- § 151.60 How must I maintain my records?
- Subpart B—Content and Timing of Notice
- § 151.70 What type of notice must I provide when I effect a securities transaction for a customer?
- § 151.80 How do I provide a registered broker-dealer confirmation?
- § 151.90 How do I provide a written notice?
- § 151.100 What are the alternate notice requirements?
- § 151.120 May I charge a fee for a notice?
- Subpart C—Settlement of Securities Transactions
- § 151.130 When must I settle a securities transaction?
- Subpart D—Securities Trading Policies and Procedures
- § 151.140 What policies and procedures must I maintain and follow for securities transactions?
- § 151.150 How do my officers and employees file reports of personal securities trading transactions?
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