Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Forms, Securities Exchange Act of 1934
  6. Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

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Section
249.617

Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.

Section
249.618

Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.

Section
249.619

Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.

Sections
249.620-249.634

§§ 249.620-249.634 [Reserved]

Section
249.635

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
249.636

§ 249.636 [Reserved]

Section
249.637

Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.

Section
249.638

Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.

Section
249.639

Form custody.

Section
249.640

Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.

Section
249.641

Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.