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Electronic Code of Federal Regulations

e-CFR data is current as of December 9, 2019

Title 12Chapter IPart 151


TITLE 12—Banks and Banking

CHAPTER I—COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURY

PART 151—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS

rule
§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?

Subpart A—RECORDKEEPING REQUIREMENTS

§151.50
What records must I maintain for securities transactions?
§151.60
How must I maintain my records?
rule

Subpart B—CONTENT AND TIMING OF NOTICE

§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?
rule

Subpart C—SETTLEMENT OF SECURITIES TRANSACTIONS

§151.130
When must I settle a securities transaction?
rule

Subpart D—SECURITIES TRADING POLICIES AND PROCEDURES

§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?

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