Code of Federal Regulations · Part

Part 12 — Recordkeeping And Confirmation Requirements For Securities Transactions

12 C.F.R. pt. 12

• § 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