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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

Title 17: Commodity and Securities Exchanges
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934

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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.

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 Federal Register citations affecting Form X–17A–5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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.

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 Federal Register citations affecting Form BD-Y2K, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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.

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 Federal Register citations affecting Form TA-Y2K, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§§ 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 Federal Register citations affecting Form ATS, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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 Federal Register citations affecting Form ATS-R, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

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