PocketLaw | CFR 12 | Recordkeeping and Confirmation Requirements for

Recordkeeping and Confirmation Requirements for Securities Transactions

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Purpose and scope.

Exceptions.

Definitions.

Recordkeeping.

Content and time of notification.

Notification by agreement; alternative forms and times of notification.

Settlement of securities transactions.

Securities trading policies and procedures.

Personal securities trading reporting by officers and employees of FDIC-supervised institutions.

Waivers.