Part 12—Recordkeeping and Confirmation Requirements for Securities Transactions

1. CFR
2. ›
3. Title 12
4. ›
5. Chapter I
6. ›
7. Part 12

Sections

• 12.1
  § 12.1 Authority, purpose, and scope.
• 12.2
  § 12.2 Definitions.
• 12.3
  § 12.3 Recordkeeping.
• 12.4
  § 12.4 Content and time of notification.
• 12.5
  § 12.5 Notification by agreement; alternative forms and times of notification.
• 12.6
  § 12.6 Fees.
• 12.7
  § 12.7 Securities trading policies and procedures.
• 12.8
  § 12.8 Waivers.
• 12.9
  § 12.9 Settlement of securities transactions.