Title 12, Part 12 — Recordkeeping and Confirmation Requirements for Securities Transactions
9 sections
Section 12.1
Authority, purpose, and scope.
Section 12.2
Definitions.
Section 12.3
Recordkeeping.
Section 12.4
Content and time of notification.
Section 12.5
Notification by agreement; alternative forms and times of notification.
Section 12.6
Fees.
Section 12.7
Securities trading policies and procedures.
Section 12.8
Waivers.
Section 12.9
Settlement of securities transactions.