17 C.F.R. Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, and Dealers
Title 17 - Commodity and Securities Exchanges
Appropriate parts of this form shall be used by every broker or dealer required to file reports under §240.17a–5(a), (b), and (d), §240.17a–10(a), and §240.17a–11, and §240.17a–12 of this chapter. (Secs. 15, 17 and 23, of the Securities Exchange Act of 1934 (15 U.S.C. 78o, 78q, and 78w)) [49 FR 43455, Oct. 29, 1984] Editorial Note: For This form shall be used by every broker-dealer required to file reports under §240.17a–5(e) of this chapter. [63 FR 37674, July 13, 1998] Editorial Note: For This form shall be used by every registered transfer agent required to file reports under §240.17Ad–18 of this chapter. [63 FR 37694, July 13, 1998] Editorial Note: For
Title 17: Commodity and Securities Exchanges
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, and Dealers
§ 249.617 Form X–17A–5, information required of certain brokers and dealers pursuant to section 17 of the Secruities Exchange Act of 1934 and §240.17a–5, §240.17a–10 and §240.17a–11, and §240.17a–12 of this chapter.
§ 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.
§ 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.
§§ 249.620-249.634 [Reserved]
§ 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.
This form shall be completed and filed by each national securities exchange or registered national securities association as required by §240.17a–19 of this chapter within 5 business days of the occurrence of the initiation of the membership of any person or the suspension or termination of the membership of any of its members.
[45 FR 39841, June 12, 1980]
§ 249.636 [Reserved]
§ 249.637 Form ATS, information required of alternative trading systems pursuant to §242.301(b)(2) of this chapter.
This form shall be used by every alternative trading system to file required notices, reports and amendments under §242.301(b)(2) of this chapter.
[63 FR 70933, Dec. 22, 1998]
Editorial Note: For
§ 249.638 Form ATS-R, information required of alternative trading systems pursuant to §242.301(b)(8) of this chapter.
This form shall be used by every alternative trading system to file required reports under §242.301(b)(8) of this chapter.
[63 FR 70943, Dec. 22, 1998]
Editorial Note: For