Sections
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240.17ab2-1
§ 240.17ab2-1 Registration of clearing agencies. -
240.17Ab2-2
§ 240.17Ab2-2 Determinations affecting covered clearing agencies. -
240.17Ac2-1
§ 240.17Ac2-1 Application for registration of transfer agents. -
240.17Ac2-2
§ 240.17Ac2-2 Annual reporting requirement for registered transfer agents. -
240.17Ac3-1
§ 240.17Ac3-1 Withdrawal from registration with the Commission. -
240.17Ad-1
§ 240.17Ad-1 Definitions. -
240.17Ad-2
§ 240.17Ad-2 Turnaround, processing, and forwarding of items. -
240.17Ad-3
§ 240.17Ad-3 Limitations on expansion. -
240.17Ad-4
§ 240.17Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11). -
240.17Ad-5
§ 240.17Ad-5 Written inquiries and requests. -
240.17Ad-6
§ 240.17Ad-6 Recordkeeping. -
240.17ad-7
§ 240.17ad-7 (Rule 17Ad-7) Record retention. -
240.17Ad-8
§ 240.17Ad-8 Securities position listings. -
240.17Ad-9
§ 240.17Ad-9 Definitions. -
240.17Ad-10
§ 240.17Ad-10 Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance. -
240.17Ad-11
§ 240.17Ad-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files. -
240.17Ad-12
§ 240.17Ad-12 Safeguarding of funds and securities. -
240.17Ad-13
§ 240.17Ad-13 Annual study and evaluation of internal accounting control. -
240.17Ad-14
§ 240.17Ad-14 Tender agents. -
240.17Ad-15
§ 240.17Ad-15 Signature guarantees. -
240.17Ad-16
§ 240.17Ad-16 Notice of assumption or termination of transfer agent services. -
240.17Ad-17
§ 240.17Ad-17 Lost securityholders and unresponsive payees. -
240.17Ad-18
§ 240.17Ad-18 Year 2000 Reports to be made by certain transfer agents. -
240.17Ad-19
§ 240.17Ad-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates. -
240.17Ad-20
§ 240.17Ad-20 Issuer restrictions or prohibitions on ownership by securities intermediaries. -
240.17Ad-21T
§ 240.17Ad-21T Operational capability in a Year 2000 environment. -
240.17ad-22
§ 240.17ad-22 Standards for clearing agencies. -
240.17Ad-24
§ 240.17Ad-24 Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under § 240.3a71-2(a) (or subject to the period set forth in § 240.3a71-2(b)). -
240.17ad-25
§ 240.17ad-25 Clearing agency boards of directors and conflicts of interest. -
240.17ad-26
§ 240.17ad-26 Recovery and orderly wind-down plans of covered clearing agencies. -
240.17Ad-27
§ 240.17Ad-27 Straight-through processing by clearing agencies that provide a central matching service. -
240.17g-1
§ 240.17g-1 Application for registration as a nationally recognized statistical rating organization. -
240.17g-2
§ 240.17g-2 Records to be made and retained by nationally recognized statistical rating organizations. -
240.17g-3
§ 240.17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations. -
240.17g-4
§ 240.17g-4 Prevention of misuse of material nonpublic information. -
240.17g-5
§ 240.17g-5 Conflicts of interest. -
240.17g-6
§ 240.17g-6 Prohibited acts and practices. -
240.17g-7
§ 240.17g-7 Disclosure requirements. -
240.17g-8
§ 240.17g-8 Policies, procedures, and internal controls. -
240.17g-9
§ 240.17g-9 Standards of training, experience, and competence for credit analysts. -
240.17g-10
§ 240.17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities. -
240.17h-1T
§ 240.17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers. -
240.17h-2T
§ 240.17h-2T Risk assessment reporting requirements for brokers and dealers.