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U.S. Code of Federal Regulations

Regulations most recently checked for updates: Oct 07, 2025

All TitlesTitle 12Chapter IPart 12 - PART 12—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
§ 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.
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