Preservation of Records and Reports of Certain Stabilizing Activities

Sections

• 240.17a-1
  § 240.17a-1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
• 240.17a-2
  § 240.17a-2 Recordkeeping requirements relating to stabilizing activities.
• 240.17a-3
  § 240.17a-3 Records to be made by certain exchange members, brokers and dealers.
• 240.17a-4
  § 240.17a-4 Records to be preserved by certain exchange members, brokers and dealers.
• 240.17a-5
  § 240.17a-5 Reports to be made by certain brokers and dealers.
• 240.17a-6
  § 240.17a-6 Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
• 240.17a-7
  § 240.17a-7 Records of non-resident brokers and dealers.
• 240.17a-8
  § 240.17a-8 Financial recordkeeping and reporting of currency and foreign transactions.
• 240.17a-9T
  § 240.17a-9T Records to be made and retained by certain exchange members, brokers and dealers.
• 240.17a-10
  § 240.17a-10 Report on revenue and expenses.
• 240.17a-11
  § 240.17a-11 Notification provisions for brokers and dealers.
• 240.17a-12
  § 240.17a-12 Reports to be made by certain OTC derivatives dealers.
• 240.17a-13
  § 240.17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
• 240.17a-14
  § 240.17a-14 Form CRS, for preparation, filing and delivery of Form CRS.
• 240.17a-18
  § 240.17a-18 [Reserved]
• 240.17a-19
  § 240.17a-19 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.
• 240.17a-21
  § 240.17a-21 Reports of the Municipal Securities Rulemaking Board.
• 240.17a-22
  § 240.17a-22 Supplemental material of registered clearing agencies.
• 240.17a-25
  § 240.17a-25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.
• 240.17d-1
  § 240.17d-1 Examination for compliance with applicable financial responsibility rules.
• 240.17d-2
  § 240.17d-2 Program for allocation of regulatory responsibility.
• 240.17f-1
  § 240.17f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
• 240.17f-2
  § 240.17f-2 Fingerprinting of securities industry personnel.