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Section 151.50
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What type of notice must I provide when I effect a securities transaction for a customer? |
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Section 151.70
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When must I settle a securities transaction? |
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Section 151.130
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What policies and procedures must I maintain and follow for securities transactions? |
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Section 151.140
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What does this part do? |
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Section 151.10
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Must I comply with this part? |
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Section 151.20
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What requirements apply to all transactions? |
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Section 151.30
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What definitions apply to this part? |
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Section 151.40
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What records must I maintain for securities transactions? |
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Section 151.50
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How must I maintain my records? |
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Section 151.60
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What type of notice must I provide when I effect a securities transaction for a customer? |
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Section 151.70
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How do I provide a registered broker-dealer confirmation? |
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Section 151.80
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How do I provide a written notice? |
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Section 151.90
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What are the alternate notice requirements? |
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Section 151.100
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May I provide a notice electronically? |
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Section 151.110
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May I charge a fee for a notice? |
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Section 151.120
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When must I settle a securities transaction? |
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Section 151.130
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What policies and procedures must I maintain and follow for securities transactions? |
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Section 151.140
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How do my officers and employees file reports of personal securities trading transactions? |
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Section 151.150
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Procedure for organization of Federal stock association |