SUBPART - Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

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

§ 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.

§ 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.

Appropriate parts of Form X-17A-5, as applicable, shall be used by brokers, dealers, security-based swap dealers, and major security-based swap participants required to file reports under §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-7 of this chapter, as applicable.

[84 FR 68669, Dec. 16, 2019] Editorial Note:For Federal Register citations affecting Form X-17A-5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 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.

This form shall be used by every broker-dealer required to file reports under § 240.17a-5(e) of this chapter.

[63 FR 37674, July 13, 1998] Editorial Note:For Federal Register citations affecting Form BD-Y2K, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 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.

This form shall be used by every registered transfer agent required to file reports under § 240.17Ad-18 of this chapter.

[63 FR 37694, July 13, 1998] Editorial Note:For Federal Register citations affecting Form TA-Y2K, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§§ 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.

This form shall be completed and filed by each national securities exchange or registered national securities association as required by § 240.17a-19 of this chapter within 5 business days of the occurrence of the initiation of the membership of any person or the suspension or termination of the membership of any of its members.

[45 FR 39841, June 12, 1980] Editorial Note:For Federal Register citations affecting Form X-17A-19, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 249.636 - [Reserved]

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

This form shall be used by every alternative trading system to file required notices, reports and amendments under § 242.301(b)(2) of this chapter.

[63 FR 70933, Dec. 22, 1998] Editorial Note:For Federal Register citations affecting Form ATS, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

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

This form shall be used by every alternative trading system to file required reports under § 242.301(b)(8) of this chapter.

[63 FR 70943, Dec. 22, 1998] Editorial Note:For Federal Register citations affecting Form ATS-R, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 249.639 - Form custody.

This form shall be used for reports of information required by § 240.17a-5 of this chapter.

Editorial Note:For Federal Register citations affecting Form Custody, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov. [78 FR 51994, Aug. 21, 2013]

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

This form shall be used by every NMS Stock ATS to file required reports under § 242.304(a) of this chapter.

[83 FR 38913, Aug. 7, 2018] Editorial Note:For Federal Register citations affecting Form ATS-N, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

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

This form shall be prepared and filed by brokers and dealers registered with the Securities and Exchange Commission pursuant to Section 15 of the Act that offer services to a retail investor pursuant to § 240.17a-14 of this chapter.

[84 FR 33630, July 12, 2019] Editorial Note:For Federal Register citations affecting Form CRS, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.