Part 151 — Recordkeeping and Confirmation Requirements for Securities Transactions

• § 151.10— What does this part do?
• § 151.20— Must I comply with this part?
• § 151.30— What requirements apply to all transactions?
• § 151.40— What definitions apply to this part?

Subpart A — Recordkeeping Requirements

• § 151.50— What records must I maintain for securities transactions?
• § 151.60— How must I maintain my records?

Subpart B — Content and Timing of Notice

• § 151.70— What type of notice must I provide when I effect a securities transaction for a customer?
• § 151.80— How do I provide a registered broker-dealer confirmation?
• § 151.90— How do I provide a written notice?
• § 151.100— What are the alternate notice requirements?
• § 151.120— May I charge a fee for a notice?

Subpart C — Settlement of Securities Transactions

• § 151.130— When must I settle a securities transaction?

Subpart D — Securities Trading Policies and Procedures

• § 151.140— What policies and procedures must I maintain and follow for securities transactions?
• § 151.150— How do my officers and employees file reports of personal securities trading transactions?