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Ben's
Guide
to U.S.
Government

Home
Page > Executive
Branch > Code of
Federal Regulations > Electronic Code of Federal
Regulations

e-CFR Data is current as of October 16,
2008

TITLE 12--Banks and Banking

CHAPTER V--OFFICE OF THRIFT SUPERVISION, DEPARTMENT OF
THE TREASURY

PART
551--RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES
TRANSACTIONS

§551.10

What does this part
do?

§551.20

Must I comply with this
part?

§551.30

What requirements apply to all
transactions?

§551.40

What definitions apply to this
part?

Subpart
A--RECORDKEEPING REQUIREMENTS

§551.50

What records must I maintain for securities
transactions?

§551.60

How must I maintain my
records?

Subpart
B--CONTENT AND TIMING OF NOTICE

§551.70

What type of notice must I provide when I effect a
securities transaction for a
customer?

§551.80

How do I provide a registered broker-dealer
confirmation?

§551.90

How do I provide a written
notice?

§551.100

What are the alternate notice
requirements?

§551.110

May I provide a notice
electronically?

§551.120

May I charge a fee for a
notice?

Subpart
C--SETTLEMENT OF SECURITIES TRANSACTIONS

§551.130

When must I settle a securities
transaction?

Subpart
D--SECURITIES TRADING POLICIES AND PROCEDURES

§551.140

What policies and procedures must I maintain and follow
for securities
transactions?

§551.150

How do my officers and employees file reports of personal
securities trading
transactions?

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concerning e-CFR programming and delivery issues, email [email-masked].

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508 / Accessibility