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Code of Federal Regulations (Last Updated: November 8, 2024) |
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Title 12 - Banks and Banking |
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Chapter I - Comptroller of the Currency, Department of the Treasury |
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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? |
| 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? |
| § 151.110 - May I provide a notice electronically? |
| § 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? |