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
|
|
| Must I comply with this part?
|
|
|
|
| What requirements apply to all transactions?
|
|
|
|
| What definitions apply to this part?
|
|
Subpart A--RECORDKEEPING REQUIREMENTS
|
|
| What records must I maintain for securities transactions?
|
|
|
|
| How must I maintain my records?
|
|
Subpart B--CONTENT AND TIMING OF NOTICE
|
|
| What type of notice must I provide when I effect a securities transaction for a customer?
|
|
|
|
| How do I provide a registered broker-dealer confirmation?
|
|
|
|
| How do I provide a written notice?
|
|
|
|
| What are the alternate notice requirements?
|
|
|
|
| May I provide a notice electronically?
|
|
|
|
| May I charge a fee for a notice?
|
|
Subpart C--SETTLEMENT OF SECURITIES TRANSACTIONS
|
|
| When must I settle a securities transaction?
|
|
Subpart D--SECURITIES TRADING POLICIES AND PROCEDURES
|
|
| What policies and procedures must I maintain and follow for securities transactions?
|
|
|
|
| How do my officers and employees file reports of personal securities trading transactions?
|
|
