12 CFR § 151.80 - How do I provide a registered broker-dealer confirmation?

---
identifier: "/us/cfr/t12/s151.80"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "12 CFR § 151.80 - How do I provide a registered broker-dealer confirmation?"
title_number: 12
title_name: "Banks and Banking"
section_number: "151.80"
section_name: "How do I provide a registered broker-dealer confirmation?"
chapter_name: "COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURY"
part_number: "151"
part_name: "RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "12 U.S.C. 1462a, 1463, 1464, 5412(b)(2)(B)."
regulatory_source: "76 FR 49008, Aug. 9, 2011, unless otherwise noted."
cfr_part: "151"
---


# 151.80 How do I provide a registered broker-dealer confirmation?

(a) If you elect to satisfy § 151.70 by providing the customer with a registered broker-dealer confirmation, you must provide the confirmation by having the registered broker-dealer send the confirmation directly to the customer or by sending a copy of the registered broker-dealer's confirmation to the customer within one business day after you receive it.

(b) Unless you have determined remuneration in a written agreement with the customer, if you have received or will receive remuneration from any source, including the customer, in connection with the transaction, you must provide a statement of the source and amount of the remuneration in addition to the registered broker-dealer confirmation described in paragraph (a) of this section.

[76 FR 49008, Aug. 9, 2011, as amended at 82 FR 8110, Jan. 23, 2017]