Subpart G — Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Search Subpart G full text →

• §249.617 Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.
• §249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.
• §249.619 Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.
• §249.620-249.634 Reserved
• §249.635 Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
• §249.636 Reserved
• §249.637 Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
• §249.638 Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.
• §249.639 Form custody.
• §249.640 Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.
• §249.641 Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.