Title 12, Part 151 — Recordkeeping and Confirmation Requirements for Securities Transactions
14 sections
Section 151.10
What does this part do?
Section 151.20
Must I comply with this part?
Section 151.30
What requirements apply to all transactions?
Section 151.40
What definitions apply to this part?
Section 151.50
What records must I maintain for securities transactions?
Section 151.60
How must I maintain my records?
Section 151.70
What type of notice must I provide when I effect a securities transaction for a customer?
Section 151.80
How do I provide a registered broker-dealer confirmation?
Section 151.90
How do I provide a written notice?
Section 151.100
What are the alternate notice requirements?
Section 151.120
May I charge a fee for a notice?
Section 151.130
When must I settle a securities transaction?
Section 151.140
What policies and procedures must I maintain and follow for securities transactions?
Section 151.150
How do my officers and employees file reports of personal securities trading transactions?