Code of Federal Regulations (alpha)

CFR /  Title 12  /  Part 12: Recordkeeping And Confirmation Requirements For Securities Transactions

Section No. Description
Section 12.101 Authority, purpose, and scope
Section 12.1 Definitions
Section 12.2 Recordkeeping
Section 12.3 Content and time of notification
Section 12.4 Notification by agreement; alternative forms and times of notification
Section 12.5 Fees
Section 12.6 Securities trading policies and procedures
Section 12.7 Waivers
Section 12.8 Settlement of securities transactions
Section 12.9 National bank disclosure of remuneration for mutual fund transactions
Section 12.101 National bank use of electronic communications as customer notifications
Section 12.102 Obligations concerning institutional customers