Title 17

PART 249 SUBPART G

Subpart G - Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.

17:4.0.1.1.10.7.128.1	SECTION 249.617	249.617 Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.
17:4.0.1.1.10.7.128.2	SECTION 249.618	249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.
17:4.0.1.1.10.7.128.3	SECTION 249.619	249.619 Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.
17:4.0.1.1.10.7.128.4	SECTION 249.620-249.634	249.620-249.634 [Reserved]
17:4.0.1.1.10.7.128.5	SECTION 249.635	249.635 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.
17:4.0.1.1.10.7.128.6	SECTION 249.636	249.636 [Reserved]
17:4.0.1.1.10.7.128.7	SECTION 249.637	249.637 Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
17:4.0.1.1.10.7.128.8	SECTION 249.638	249.638 Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.
17:4.0.1.1.10.7.128.9	SECTION 249.639	249.639 Form custody.
17:4.0.1.1.10.7.128.10	SECTION 249.640	249.640 Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.
17:4.0.1.1.10.7.128.11	SECTION 249.641	249.641 Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.