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U.S. Code of Federal Regula...
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Title 12—Banks and Banking
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CHAPTER I—COMPTROLLER OF TH...
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PART 151—RECORDKEEPING AND CONFIRMATION REQUIRE...
PART 151—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
§ 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?
§ 151.50 - What records must I maintain for securities transactions?
§ 151.60 - How must I maintain my records?
§ 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?
§ 151.130 - When must I settle a securities transaction?
§ 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?