Recordkeeping and Confirmation Requirements for Securities Transactions

  1. Law
  2. CFR 12
  3. Banks and Banking
  4. Comptroller of the Currency, Department of the Treasury
  5. Recordkeeping and Confirmation Requirements for Securities Transactions

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Section
12.1

Authority, purpose, and scope.

Section
12.2

Definitions.

Section
12.3

Recordkeeping.

Section
12.4

Content and time of notification.

Section
12.5

Notification by agreement; alternative forms and times of notification.

Section
12.6

Fees.

Section
12.7

Securities trading policies and procedures.

Section
12.8

Waivers.

Section
12.9

Settlement of securities transactions.