 |
Code of Federal Regulations (Last Updated: November 8, 2024) |
 |
Title 12 - Banks and Banking |
|
|
Chapter V - Office of Thrift Supervision, Department of the Treasury |
|
|
Part 551 - Recordkeeping and Confirmation Requirements for Securities Transactions |
| § 551.10 - What does this part do? |
| § 551.20 - Must I comply with this part? |
| § 551.30 - What requirements apply to all transactions? |
| § 551.40 - What definitions apply to this part? |
| Subpart A - Recordkeeping Requirements |
| § 551.50 - What records must I maintain for securities transactions? |
| § 551.60 - How must I maintain my records? |
| Subpart B - Content and Timing of Notice |
| § 551.70 - What type of notice must I provide when I effect a securities transaction for a customer? |
| § 551.80 - How do I provide a registered broker-dealer confirmation? |
| § 551.90 - How do I provide a written notice? |
| § 551.100 - What are the alternate notice requirements? |
| § 551.110 - May I provide a notice electronically? |
| § 551.120 - May I charge a fee for a notice? |
| Subpart C - Settlement of Securities Transactions |
| § 551.130 - When must I settle a securities transaction? |
| Subpart D - Securities Trading Policies and Procedures |
| § 551.140 - What policies and procedures must I maintain and follow for securities transactions? |
| § 551.150 - How do my officers and employees file reports of personal securities trading transactions? |