Part 12 — Recordkeeping and Confirmation Requirements for Securities Transactions
- §12.1 Authority, purpose, and scope.
- §12.2 Definitions.
- §12.3 Recordkeeping.
- §12.4 Content and time of notification.
- §12.5 Notification by agreement; alternative forms and times of notification.
- §12.6 Fees.
- §12.7 Securities trading policies and procedures.
- §12.8 Waivers.
- §12.9 Settlement of securities transactions.