Part 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.