StacksVerified U.S. regulatory reference

17 CFR §249.328T

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
This form shall be used by brokers and dealers in reporting information to the Commission concerning certain of their associated persons pursuant to section 17(h) of the Securities Exchange Act of 1934 [15 U.S.C. 78q(h)] and Rules 17h-1T and 17h-2T thereunder [§§ 240.17h-1T and 240.17h-2T of this chapter].