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