Code of Federal Regulations > Title 17 > Chapter II > Part 249 > Subpart G - Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Oct 30, 2025

§ 249.617 - Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.

§ 249.618 - Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and of this chapter.

§ 249.619 - Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and of this chapter.

§§ 249.620-249.634 - §[Reserved]

§ 249.635 - 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.

§ 249.636 - [Reserved]

§ 249.637 - Form ATS, information required of alternative trading systems pursuant to of this chapter.

§ 249.638 - Form ATS-R, information required of alternative trading systems pursuant to of this chapter.

§ 249.639 - Form custody.

§ 249.640 - Form ATS-N, information required of NMS Stock ATSs pursuant to of this chapter.

§ 249.641 - Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to of this chapter.