Subjgrp 111. Preservation of Records and Reports of Certain Stabilizing Activities
- § 240.17a-1 - Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
- § 240.17a-2 - Recordkeeping requirements relating to stabilizing activities.
- § 240.17a-3 - Records to be made by certain exchange members, brokers and dealers.
- § 240.17a-4 - Records to be preserved by certain exchange members, brokers and dealers.
- § 240.17a-5 - Reports to be made by certain brokers and dealers.
- § 240.17a-6 - Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
- § 240.17a-7 - Records of non-resident brokers and dealers.
- § 240.17a-8 - Financial recordkeeping and reporting of currency and foreign transactions.
- § 240.17a-9T - Records to be made and retained by certain exchange members, brokers and dealers.
- § 240.17a-10 - Report on revenue and expenses.
- § 240.17a-11 - Notification provisions for brokers and dealers.
- § 240.17a-12 - Reports to be made by certain OTC derivatives dealers.
- § 240.17a-13 - Quarterly security counts to be made by certain exchange members, brokers, and dealers.
- § 240.17a-14 - Form CRS, for preparation, filing and delivery of Form CRS.
- § 240.17a-18 - [Reserved]
- § 240.17a-19 -
- § 240.17a-21 - Reports of the Municipal Securities Rulemaking Board.
- § 240.17a-22 - Supplemental material of registered clearing agencies.
- § 240.17a-25 - Electronic submission of securities transaction information by exchange members, brokers, and dealers.
- § 240.17d-1 - Examination for compliance with applicable financial responsibility rules.
- § 240.17d-2 - Program for allocation of regulatory responsibility.
- § 240.17f-1 - Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
- § 240.17f-2 - Fingerprinting of securities industry personnel.