Title 12

PART 12

Part 12 - Recordkeeping And Confirmation Requirements For Securities Transactions

PART 12 - RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS Authority:12 U.S.C. 24, 92a, and 93a. Source:61 FR 63965, Dec. 2, 1996, unless otherwise noted.

• Authority: 12 U.S.C. 24, 92a, and 93a.
• Source: 61 FR 63965, Dec. 2, 1996, unless otherwise noted.

12:1.0.1.1.12.0.26.1	SECTION 12.1	12.1 Authority, purpose, and scope.
12:1.0.1.1.12.0.26.2	SECTION 12.2	12.2 Definitions.
12:1.0.1.1.12.0.26.3	SECTION 12.3	12.3 Recordkeeping.
12:1.0.1.1.12.0.26.4	SECTION 12.4	12.4 Content and time of notification.
12:1.0.1.1.12.0.26.5	SECTION 12.5	12.5 Notification by agreement; alternative forms and times of notification.
12:1.0.1.1.12.0.26.6	SECTION 12.6	12.6 Fees.
12:1.0.1.1.12.0.26.7	SECTION 12.7	12.7 Securities trading policies and procedures.
12:1.0.1.1.12.0.26.8	SECTION 12.8	12.8 Waivers.
12:1.0.1.1.12.0.26.9	SECTION 12.9	12.9 Settlement of securities transactions.

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