12 C.F.R. PART 551--RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
TITLE 12--Banks and Banking
CHAPTER V--OFFICE OF THRIFT SUPERVISION, DEPARTMENT OF THE TREASURY
PART 551--RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
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Must I comply with this part?
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What requirements apply to all transactions?
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What definitions apply to this part?
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Subpart A--RECORDKEEPING REQUIREMENTS
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What records must I maintain for securities transactions?
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How must I maintain my records?
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Subpart B--CONTENT AND TIMING OF NOTICE
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What type of notice must I provide when I effect a securities transaction for a customer?
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How do I provide a registered broker-dealer confirmation?
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How do I provide a written notice?
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What are the alternate notice requirements?
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May I provide a notice electronically?
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May I charge a fee for a notice?
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Subpart C--SETTLEMENT OF SECURITIES TRANSACTIONS
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When must I settle a securities transaction?
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Subpart D--SECURITIES TRADING POLICIES AND PROCEDURES
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What policies and procedures must I maintain and follow for securities transactions?
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How do my officers and employees file reports of personal securities trading transactions?
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