12 CFR Part 12
RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
November 10, 2020
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12.1
Authority, purpose, and scope
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12.2
Definitions
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12.3
Recordkeeping
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12.4
Content and time of notification
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12.5
Notification by agreement; alternative forms and times of notification
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12.6
Fees
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12.7
Securities trading policies and procedures
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12.8
Waivers
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12.9
Settlement of securities transactions
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