Preservation of Records and Reports of Certain Stabilizing Activities

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Preservation of Records and Reports of Certain Stabilizing Activities

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Section
240.17a-1

Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.

Section
240.17a-2

Recordkeeping requirements relating to stabilizing activities.

Section
240.17a-3

Records to be made by certain exchange members, brokers and dealers.

Section
240.17a-4

Records to be preserved by certain exchange members, brokers and dealers.

Section
240.17a-5

Reports to be made by certain brokers and dealers.

Section
240.17a-6

Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.

Section
240.17a-7

Records of non-resident brokers and dealers.

Section
240.17a-8

Financial recordkeeping and reporting of currency and foreign transactions.

Section
240.17a-9T

Records to be made and retained by certain exchange members, brokers and dealers.

Section
240.17a-10

Report on revenue and expenses.

Section
240.17a-11

Notification provisions for brokers and dealers.

Section
240.17a-12

Reports to be made by certain OTC derivatives dealers.

Section
240.17a-13

Quarterly security counts to be made by certain exchange members, brokers, and dealers.

Section
240.17a-14

Form CRS, for preparation, filing and delivery of Form CRS.

Section
240.17a-18

§ 240.17a-18 [Reserved]

Section
240.17a-19

Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.

Section
240.17a-21

Reports of the Municipal Securities Rulemaking Board.

Section
240.17a-22

Supplemental material of registered clearing agencies.

Section
240.17a-25

Electronic submission of securities transaction information by exchange members, brokers, and dealers.

Section
240.17d-1

Examination for compliance with applicable financial responsibility rules.

Section
240.17d-2

Program for allocation of regulatory responsibility.

Section
240.17f-1

Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.

Section
240.17f-2

Fingerprinting of securities industry personnel.