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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 V - Office of Thrift Supervision, Department of the Treasury |
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Part 551 - Recordkeeping and Confirmation Requirements for Securities Transactions |
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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? |