About GPO   |   Newsroom/Media   |   Congressional Relations   |   Inspector General   |   Careers   |   Contact   |   askGPO   |   Help  
 
Home   |   Customers   |   Vendors   |   Libraries  

The Electronic Code of Federal Regulations (e-CFR) is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments produced by the National Archives and Records Administration's Office of the Federal Register (OFR) and the Government Printing Office.

Parallel Table of Authorities and Rules for the Code of Federal Regulations and the United States Code
Text | PDF

Find, review, and submit comments on Federal rules that are open for comment and published in the Federal Register using Regulations.gov.

Purchase individual CFR titles from the U.S. Government Online Bookstore.

Find issues of the CFR (including issues prior to 1996) at a local Federal depository library.

[2]
 
 

Electronic Code of Federal Regulations

blue pill

e-CFR Data is current as of July 18, 2014

TITLE 12—Banks and Banking

CHAPTER V—OFFICE OF THRIFT SUPERVISION, DEPARTMENT OF THE TREASURY

PART 551—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS

rule
§551.10
What does this part do?
§551.20
Must I comply with this part?
§551.30
What requirements apply to all transactions?
§551.40
What definitions apply to this part?

Subpart A—RECORDKEEPING REQUIREMENTS

§551.50
What records must I maintain for securities transactions?
§551.60
How must I maintain my records?
rule

Subpart B—CONTENT AND TIMING OF NOTICE

§551.70
What type of notice must I provide when I effect a securities transaction for a customer?
§551.80
How do I provide a registered broker-dealer confirmation?
§551.90
How do I provide a written notice?
§551.100
What are the alternate notice requirements?
§551.110
May I provide a notice electronically?
§551.120
May I charge a fee for a notice?
rule

Subpart C—SETTLEMENT OF SECURITIES TRANSACTIONS

§551.130
When must I settle a securities transaction?
rule

Subpart D—SECURITIES TRADING POLICIES AND PROCEDURES

§551.140
What policies and procedures must I maintain and follow for securities transactions?
§551.150
How do my officers and employees file reports of personal securities trading transactions?


For questions or comments regarding e-CFR editorial content, features, or design, email ecfr@nara.gov.
For questions concerning e-CFR programming and delivery issues, email webteam@gpo.gov.