Sections
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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.