Code of Federal Regulations · Subpart

Subpart G — Forms For Reports To Be Made By Certain Exchange Members, Brokers, Dealers, Security-based Swap Dealers, And Major Security-based Swap Participants

17 C.F.R. pt. 249, subpt. G

• § 249.617 Form 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
• § 249.618 Form 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
• § 249.619 Form 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
• § 249.635 Form X-17a-19, Report By National Securities Exchanges And Registered National Securities Associations Of Changes In The Membership Status Of Any Of Their Members
• § 249.636 [reserved]
• § 249.637 Form Ats, Information Required Of Alternative Trading Systems Pursuant To § 242.301(b)(2) Of This Chapter
• § 249.638 Form Ats-r, Information Required Of Alternative Trading Systems Pursuant To § 242.301(b)(8) Of This Chapter
• § 249.639 Form Custody
• § 249.640 Form Ats-n, Information Required Of Nms Stock Atss Pursuant To § 242.304(a) Of This Chapter
• § 249.641 Form Crs, Relationship Summary For Brokers And Dealers Providing Services To Retail Investors, Pursuant To § 240.17a-14 Of This Chapter
• § 249.620-249.634 §§ 249.620-249.634 [reserved]