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Code of Federal Regulations (Last Updated: April 5, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II - Securities and Exchange Commission |
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Part 249 - Forms, Securities Exchange Act of 1934 |
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Subpart G - Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants |
Subpart G - Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
| § 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. |
| §§ 249.620--249.634 - [Reserved] |
| § 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 - xxx |
| § 249.641 - xxx |
| §§ 249.619--249.634 - [Reserved] |