Title 12

PART 151 SUBPART B

Subpart B - Content and Timing of Notice

• 12 U.S.C. 1462a, 1463, 1464, 5412(b)(2)(B).
• 76 FR 49008, Aug. 9, 2011, unless otherwise noted.

12:1.0.1.1.66.2.50.1	SECTION 151.70	151.70 What type of notice must I provide when I effect a securities transaction for a customer
12:1.0.1.1.66.2.50.2	SECTION 151.80	151.80 How do I provide a registered broker-dealer confirmation
12:1.0.1.1.66.2.50.3	SECTION 151.90	151.90 How do I provide a written notice
12:1.0.1.1.66.2.50.4	SECTION 151.100	151.100 What are the alternate notice requirements
12:1.0.1.1.66.2.50.5	SECTION 151.120	151.120 May I charge a fee for a notice

---