Code of Federal Regulations > Title 12 > Chapter I > Part 12 - PART 12—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Oct 30, 2025

§ 12.1 - Authority, purpose, and scope.

§ 12.2 - Definitions.

§ 12.3 - Recordkeeping.

§ 12.4 - Content and time of notification.

§ 12.5 - Notification by agreement; alternative forms and times of notification.

§ 12.6 - Fees.

§ 12.7 - Securities trading policies and procedures.

§ 12.8 - Waivers.

§ 12.9 - Settlement of securities transactions.