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Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
e-CFR Data is current as of February 4, 2010
TITLE 12--Banks and Banking
CHAPTER V--OFFICE OF THRIFT SUPERVISION, DEPARTMENT OF THE TREASURY
PART 551--RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
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| Must I comply with this part? |
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| What requirements apply to all transactions? |
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| What definitions apply to this part? |
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Subpart A--RECORDKEEPING REQUIREMENTS
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| What records must I maintain for securities transactions? |
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| How must I maintain my records? |
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Subpart B--CONTENT AND TIMING OF NOTICE
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| What type of notice must I provide when I effect a securities transaction for a customer? |
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| How do I provide a registered broker-dealer confirmation? |
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| How do I provide a written notice? |
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| What are the alternate notice requirements? |
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| May I provide a notice electronically? |
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| May I charge a fee for a notice? |
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Subpart C--SETTLEMENT OF SECURITIES TRANSACTIONS
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| When must I settle a securities transaction? |
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Subpart D--SECURITIES TRADING POLICIES AND PROCEDURES
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| What policies and procedures must I maintain and follow for securities transactions? |
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| How do my officers and employees file reports of personal securities trading transactions? |
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