17 CFR Topic
Preservation of Records and Reports of Certain Stabilizing Activities
April 15, 2021
§
240.17a-1
Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board
§
240.17a-2
Recordkeeping requirements relating to stabilizing activities
§
240.17a-3
Records to be made by certain exchange members, brokers and dealers
§
240.17a-4
Records to be preserved by certain exchange members, brokers and dealers
§
240.17a-5
Reports to be made by certain brokers and dealers
§
240.17a-6
Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents
§
240.17a-7
Records of non-resident brokers and dealers
§
240.17a-8
Financial recordkeeping and reporting of currency and foreign transactions
§
240.17a-9T
Records to be made and retained by certain exchange members, brokers and dealers
§
240.17a-10
Report on revenue and expenses
§
240.17a-11
Notification provisions for brokers and dealers
§
240.17a-12
Reports to be made by certain OTC derivatives dealers
§
240.17a-13
Quarterly security counts to be made by certain exchange members, brokers, and dealers
§
240.17a-14
Form CRS, for preparation, filing and delivery of Form CRS
§
240.17a-18
[Reserved]
§
240.17a-19
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
§
240.17a-21
Reports of the Municipal Securities Rulemaking Board
§
240.17a-22
Supplemental material of registered clearing agencies
§
240.17a-25
Electronic submission of securities transaction information by exchange members, brokers, and dealers
§
240.17d-1
Examination for compliance with applicable financial responsibility rules
§
240.17d-2
Program for allocation of regulatory responsibility
§
240.17f-1
Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities
§
240.17f-2
Fingerprinting of securities industry personnel
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